The primary purpose of the Proposed Amendments is to reduce the regulatory burden associated with the reporting requirements for ...
CN Editor
April 19, 2019
NEW SRO INVESTOR ALERT: ADVISOR IMPERSONATION SCHEMES
IOSCO SETS THE STANDARD FOR GLOBAL CRYPTO REGULATION
SEC PROPOSES RULE AMENDMENTS AND NEW RULE TO IMPROVE RISK MANAGEMENT AND RESILIENCE OF COVERED CLEARING AGENCIES
CSA ANNOUNCES EXEMPTIONS FROM FILING REQUIREMENTS DURING SWITCH TO SYSTEM OF ELECTRONIC DATA ANALYSIS AND RETRIEVAL+(SEDAR+)
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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