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
RULEBOOK REWRITE SPARKS PUSHBACK
IIAC: FURTHER RECOMMENDATIONS FOR SHORT SALES AND FAILED TRADES
PMAC SUMMARY ON OSC NOTICE 33-756 – SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS 2023-2024
FINTRAC OPERATIONAL ALERT: LAUNDERING THE PROCEEDS OF TAX EVASION IN REAL ESTATE
Thank you for the feedback!!
CIRO SANCTIONS RBC DOMINION SECURITIES FOR TRADING RULE VIOLATIONS
NEW WEBCAST: CLIENT FOCUSED REFORMS: CONFLICTS OF INTEREST & JOINT SWEEP CSA/CIRO REPORT
TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO