The Regulatory Division of Bourse de Montréal Inc. approved the resignation of Cormark Securities Inc., an approved participant o...
CN Editor
May 02, 2019
TMX REGULATORY DIVISION ANNUAL REPORT
INTRODUCTION OF A REMEDIATION PROCESS AND UPDATE TO THE RULES REGARDING THE CONDUCT OF REGULATORY FUNCTIONS
CIRO MEMBER NAME CHANGE: ATB CAPITAL MARKETS CORP.
CIRO MEMBER NAME CHANGE: INTELLIGENTINVESTING SECURITIES INC.
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS