An MFDA Hearing Panel approved a settlement agreement with Hussein Shivji ("Shivji"), a former mutual fund salesperson with World...
CN Editor
May 03, 2019
INVESTOR CLASS-ACTION SETTLEMENT APPROVED
OSC ALLEGES AUDITING FAILURES BY KPMG IN CONNECTION WITH FOUR BRIDGING FINANCE INC. FUNDS
FOUNDER PLEADS GUILTY TO DEFRAUDING VENTURE ISSUERS
CLASS ACTION AGAINST FSRA OVER PACE DISMISSED
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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