An MFDA Hearing Panel approved a settlement agreement with Shafique Hirani ("Hirani"), a former mutual fund salesperson with Inve...
CN Editor
April 10, 2019
CIRO ALLEGES UNAPPROVED OUTSIDE ACTIVITIES BY FORMER PORTFOLIO STRATEGIES CORPORATION REP FROM VANCOUVER, BC
CIRO ALLEGES FAILURE TO COOPERATE BY FORMER HSBC INVESTMENT FUNDS (CANADA) REP FROM RICHMOND HILL, ON
CIRO SANCTIONS PFSL INVESTMENTS CANADA REP FROM MARKHAM, ON
ASC ALLEGES JASON DAVID NEALE, RANDAL STEWART THOMPSON AND WILLIAM ALLAN GREEN BREACHED ALBERTA SECURITIES LAWS
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DRAMATIC INCREASE IN FINTRAC FINES COMING, BUT THEIR EFFECTIVENESS IS LESS CLEAR
DELAYING THE EFFECTIVE DATE OF THE ANTI-MONEY LAUNDERING/COUNTERING THE FINANCING OF TERRORISM PROGRAM AND SUSPICIOUS ACTIVITY REPORT FILING REQUIREMENTS FOR REGISTERED INVESTMENT ADVISERS AND EXEMPT REPORTING ADVISERS
WITH CRM3 AROUND THE CORNER, HERE"S HOW FINANCIAL SERVICES FIRMS ARE PREPARING