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
WEBSITE CONSOLIDATION: PHASE 2 UPDATE
SEC CHARGES ANDREW LEFT AND CITRON CAPITAL FOR $20 MILLION FRAUD SCHEME
ESMA SEEKS REFORMS TO TRADING RULES
CFTC ORDERS AUSTRALIAN SWAP DEALER TO PAY $500,000 FOR SUPERVISION FAILURES
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ONTARIO FIRM PAYS $60,000 FOR COMPLIANCE DEFICIENCIES
CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
ELEVATE FINANCIAL CORP. AND ITS PRINCIPALS CONSENT TO ASC REGISTRATION SUSPENSION