The securities regulatory authorities in Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Québec and Saskatchewan...
CN Editor
April 19, 2019
FCA PUBLISHES REVIEW OF CONSOLIDATION IN FINANCIAL ADVICE AND WEALTH MANAGEMENT SECTOR
SIMA RESPONDS TO CSA CONSULTATION ON ETF REGULATION
FCA WARNS INVESTORS IN CFDS RISK LOSING OUT ON PROTECTIONS
PMAC CALLS ON CSA TO REVIEW PRIVACY AND DATA PROTECTION POLICIES
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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
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS