An initial appearance has been scheduled before an IIROC Hearing Panel in the matter of Cynthia Nelson, a former Investment Advis...
CN Editor
April 19, 2019
MFDA SANCTIONS FORMER BMO INVESTMENTS REP
FINAL PHASES OF CLIENT IDENTIFIER REQUIREMENTS TAKE EFFECT
IIROC SANCTIONS RBC DOMINION SECURITIES INC. AND FORMER TORONTO INVESTMENT ADVISOR
OSC PUBLISHES GUIDANCE ON ENFORCEMENT INVESTIGATIONS AND DOCUMENT PRODUCTION
Thank you for the feedback!!
PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS