On January 30, 2019, IIROC’s Board of Directors (the Board) granted relief to three Dealers Members from Dealer Member Rules (DMR...
CN Editor
April 11, 2019
CIRO PROFICIENCY EXEMPTION REQUESTS
CSA ADOPTS EXPEDITED SHELF PROSPECTUS REGIME FOR WELL-KNOWN SEASONED ISSUERS
NASAA SEEKS PUBLIC COMMENT ON PROPOSED NASAA MODEL FRANCHISE BROKER REGISTRATION ACT
NASAA SEEKS PUBLIC COMMENT ON PROPOSED AMENDMENTS TO INVESTMENT ADVISER ADVERTISING RULES
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
OSC SEEKS TO ENFORCE D&O SANCTIONS
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.