An MFDA Hearing Panel approved a settlement agreement with David Edward Hucul ("Hucul"), a former mutual fund salesperson with IP...
CN Editor
April 15, 2019
SEC SANCTIONS BROKER FOR WEAK CYBER DEFENCES
CIRO ALLEGES MISAPPROPRIATION BY FORMER PFSL INVESTMENTS CANADA REP FROM WOODBRIDGE, ON
BCSC FORFEITURE EFFORT CAN GO AHEAD, DESPITE DELAY
MICHAEL AONSO OF STRIKE HOLDINGS INC. SENTENCED TO 90 DAYS IN JAIL FOR SECURITIES ACT OFFENCES
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP