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 SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM LONDON, ON
CIRO SANCTIONS FORMER SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) REP FROM ABBOTSFORD, BC
FINRA ENFORCEMENT CHIEF"S KEY OBJECTIVES
WILL 2024 BE THE YEAR OF COMPLIANCE TECHNOLOGY?
Thank you for the feedback!!
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW WAY OF PAYING FOR INVESTMENT RESEARCH PROPOSED BY THE FINANCIAL REGULATOR
DO YOUR NOTES PASS THE SNIFF TEST?