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
FEDERAL COURT ORDERS CALIFORNIA-BASED PRECIOUS METALS COMPANY, CEO, SENIOR SALESPERSON TO PAY OVER $56 MILLION FOR FRAUD IN CONNECTION WITH PRECIOUS METALS SALES
ADVISORS FACE NEW U.S. FIDUCIARY REQUIREMENTS
SEC STAFF PUBLISHES NEW REGISTERED FUND STATISTICS REPORT
FCA LOOKS FOR MEMBERS FOR ITS ADVISORY COMMITTEE ON SECONDARY MARKETS
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS