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
AN INSIDE LOOK INTO FINRA’S CRYPTO ASSET WORK
APPROVAL OF PROPOSED AMENDMENTS TO INTRODUCE ALPHA-X AND ALPHA DRK
CIRO ANNOUNCES HOUSEKEEPING AMENDMENTS TO UMIR
SEC ADOPTS RULES ON CYBERSECURITY RISK MANAGEMENT, STRATEGY, GOVERNANCE, AND INCIDENT DISCLOSURE BY PUBLIC COMPANIES
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BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS