An MFDA Hearing Panel approved a settlement agreement with Hussein Shivji ("Shivji"), a former mutual fund salesperson with World...
CN Editor
May 03, 2019
MUTUAL FUND DEALER CE CYCLE 1, ENDING NOVEMBER 30, 2023
FORMER MINING COMPANY CEO MUST PAY $40,000 FOR MISREPRESENTATIONS AND FILING OF MISLEADING STATEMENTS
ASC ALLEGES ALBERTA-BASED COMPANY, GRS HYDROGEN SOLUTIONS INC., AND ITS PRESIDENT & CEO, ALBERT EUGENE CERENZIE, BREACHED ALBERTA SECURITIES LAWS
U.S. REACHES DEAL ON BROKER"S SHADY TRADING
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INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
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