The BCSC published for public comment a proposed amendment to MFDA By-Law No. 1, subsection 24.A (Ombudservice). The disclosu...
CN Editor
March 29, 2019
FCA - A NEW IMPROVED HANDBOOK WEBSITE
UNSUITABLE INVESTMENTS LEAD TO $62K LOSS FOR INVESTOR
UNDERSTANDING THE E&O CLAIMS PROCESS AS REGULATORY FINES INCREASE
INVESTOR ADVOCATES PUSH TO GIVE OBSI BINDING POWERS TO RESOLVE COMPLAINTS
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL