The MFDA will consider a proposed settlement agreement with Sonia Padilla (“Padilla”), a mutual fund salesperson with Sun Life Fi...
CN Editor
April 19, 2019
FIRST FCA ENFORCEMENT ACTION AND FINE AGAINST A RECOGNISED INVESTMENT EXCHANGE
CIRO SANCTIONS QUADRUS INVESTMENT SERVICES REP FROM REGINA, SK
CIRO SANCTIONS FORMER SCOTIA CAPITAL REP FROM TORONTO, ON
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CIRO COMPLIANCE REPORT FOR 2025: HELPING DEALERS WITH COMPLIANCE
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IFIC MAKES SUBMISSION ON PHASE 4 OF CIRO"S RULE CONSOLIDATION PROJECT