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
IIAC TO MANITOBA: TITLES ARE REGULATED BY CSA AND CIRO
IIAC: RECOMMENDATIONS FOR OSC ENFORCEMENT MONEY
NEW WEBCAST: SRO EXAMINATION SERIES #1: FINANCIAL OPERATIONS (FINOPS) HOSTED BY THE INVESTMENT INDUSTRY ASSOCIATION OF CANADA (IIAC)
MARKET DATA: THROUGH A GLASS DARLY, ARTICLE BY: TEE WILLIAMS
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BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS