The Securities Amendment Act, which received Royal Assent on May 15, provides IIROC with the ability to more
effectively and con...
May 17, 2019
OSC PUBLISHES GUIDANCE ON ENFORCEMENT INVESTIGATIONS AND DOCUMENT PRODUCTION
SEC SETTLES WITH UBS OVER USE OF VOLATILITY-LINKED PRODUCT
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH PFSL INVESTMENTS CANADA REP
CANADIAN SECURITIES REGULATORS PUBLISH FINAL AMENDMENTS TO ENHANCE PROTECTION OF OLDER AND VULNERABLE CLIENTS
Thank you for the feedback!!
PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS