The SEC proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border secu...
CN Editor
May 13, 2019
STATES AND CFTC SECURE FINAL JUDGMENT AGAINST PRECIOUS METALS FIRM THAT DEFRAUDED ELDERLY ADULTS
MODERNIZING SEC RULES TO REFLECT TODAY"S COMMUNICATIONS PRACTICES
VICTIMS OF U.S. - BASED DFRF FRAUD CAN SEEK COMPENSATION WITH U.S. AUTHORITIES
CRYPTO SECTOR REGULATION STILL PATCHY
Thank you for the feedback!!
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