The Rules and Policies Committee of Bourse de Montréal Inc. (the “Bourse”) and the Special Committee of the Regulatory Division o...
CN Editor
April 15, 2019
SEC FINALIZES RULES TO REDUCE RISKS IN CLEARANCE AND SETTLEMENT
SEC PROPOSES REVISION TO PRIVACY ACT RULE
AMENDMENTS TO THE IIROC RULES AND FORM 1 RELATING TO THE FUTURES SEGREGATION AND PORTABILITY CUSTOMER PROTECTION REGIME
FINRA LAUNCHES HIGH-TECH RULEBOOK
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NEW SRO ALLEGES FORMER SCOTIA CAPITAL INC. REP CONDUCTED OFF-BOOK INVESTMENTS WITHOUT AUTHORIZATION
NEW SRO ALLEGES FORMER CIBC SECURITIES INC. REP MISAPPROPRIATED FUNDS AND ENGAGED IN PERSONAL FINANCIAL DEALINGS WITH A CLIENT
OSC PUBLISHES ITS 2023-2024 STATEMENT OF PRIORITIES
NEW SRO SANCTIONS FORMER SCOTIA CAPITAL INC. REP FROM HALIFAX, NS