The CDCC announced the amendments to its List of Fees effective June 1st, 2019. The purpose of the amendments to the current List...
CN Editor
May 17, 2019
FINRA ORDERS AMERICAN PORTFOLIOS FINANCIAL SERVICES TO PAY $4.6 MILLION IN RESTITUTION FOR OVERCOLLECTION OF FEES, RETENTION OF SURPLUS INTEREST
CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
SIMA ADVOCATES FOR FAIR FEES IN RESPONSE TO CIRO PROPOSAL
OBSI 2026 FEES FOR PARTICIPATING FIRMS
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THE BANKER, THE BROTHERS, THE FRIENDS AND THEIR FRAUDS
2026 COMPLIANCE PRIORITIES AND REGULATORY DIVISION INITIATIVES
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