An MFDA Hearing Panel approved a settlement agreement with Hussein Shivji ("Shivji"), a former mutual fund salesperson with World...
CN Editor
May 03, 2019
UPS TO PAY $45 MILLION PENALTY FOR IMPROPERLY VALUING BUSINESS UNIT
SEC CHARGES ADVISORY FIRM LA MANCHA AND ITS OWNER DAVID KUSHNER WITH FRAUD
CIRO SANCTIONS SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) REP FROM SASKATOON, SASKATCHEWAN
VANCOUVER MAN CHARGED WITH FRAUD, OTHER OFFENCES UNDER SECURITIES ACT
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023
CANADIAN SECURITIES REGULATORS EXPLORE STREAMLINING REGISTRATION DELEGATION TO THE CANADIAN INVESTMENT REGULATORY ORGANIZATION