The MFDA commenced a disciplinary proceeding in respect of Jovan Knezevic (“Knezevic”), a mutual fund salesperson with Investia F...
CN Editor
April 04, 2019
FP CANADA FIELDED 66 COMPLAINTS, CONDUCTED 11 HEARINGS IN 2020
CANADIAN SECURITIES REGULATORS TO ESTABLISH NEW SINGLE ENHANCED SELF-REGULATORY ORGANIZATION
MFDA ACCEPTS SETTLEMENT AGREEMENT WITH MANULIFE REP
MFDA ACCEPTS SETTLEMENT AGREEMENT WITH CREDENTIAL ASSET MANAGEMENT REP
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PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS