An MFDA Hearing Panel approved a settlement agreement with Hussein Shivji ("Shivji"), a former mutual fund salesperson with World...
CN Editor
May 03, 2019
EX-BROKER CHARGED IN ALLEGED U.S. PONZI SCHEME
SEC CHARGES PENNSYLVANIA RESIDENT AND HIS COMPANIES WITH $770 MILLION PONZI SCHEME
CIRO SANCTIONS DEALING REPRESENTATIVE WITH QUADRUS INVESTMENT IN NIAGARA, ONTARIO
DISGORGEMENT - PROPOSED AMENDMENTS TO THE MUTUAL FUND DEALER RULES
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS