IIROC AND NASDAQ launched IIROC’s upgraded market surveillance system using Nasdaq’s SMARTS – a leading-edge technology that sign...
CN Editor
May 10, 2019
ESMA SEEKS REFORMS TO TRADING RULES
CFTC ORDERS AUSTRALIAN SWAP DEALER TO PAY $500,000 FOR SUPERVISION FAILURES
TRIBUNAL TRIMS SANCTIONS AGAINST FORMER REP
FINRA NAMES FERAL TALIB AS EXECUTIVE VICE PRESIDENT AND HEAD OF SURVEILLANCE AND MARKET INTELLIGENCE
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TD BANK ORDERED TO IDENTIFY WHISTLEBLOWER
B.C. FIRM AND FORMER CEO AGREE TO PAY NEARLY HALF A MILLION DOLLARS FOR COMPLIANCE DEFICIENCIES
FAKE INVESTMENT FIRM SANCTIONED
AMF ENTERS INTO AN AGREEMENT WITH APPLE CANADA INC.