IIAC"s President, Ian Russell, provides his insights from the 2019 SIFMA Private Client Conference, held April 10-11, 2019.
CN Editor
April 30, 2019
MUCH WORK TO BE DONE, CSA YEAR IN REVIEW SHOWS
OBSI REPORT: FUND DEALER COMPLAINTS DROP, BANK GRIPES UP
CANADIAN SECURITIES ADMINISTRATORS RELEASE 2023-2024 YEAR IN REVIEW
IIAC RECOMMENDATIONS FOR CIRO RULE CONSOLIDATION - PHASE 3
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TD BANK ORDERED TO IDENTIFY WHISTLEBLOWER
B.C. FIRM AND FORMER CEO AGREE TO PAY NEARLY HALF A MILLION DOLLARS FOR COMPLIANCE DEFICIENCIES
FAKE INVESTMENT FIRM SANCTIONED
AMF ENTERS INTO AN AGREEMENT WITH APPLE CANADA INC.