The Rules and Policies Committee of the Bourse de Montreal and the Special Committee of the Regulatory Division of the Bourse ap...
CN Editor
May 22, 2019
CANADIAN SECURITIES REGULATORS PROPOSE INTRODUCTION OF EXPEDITED SHELF PROSPECTUS REGIME FOR WELL-KNOWN SEASONED ISSUERS
DISCIPLINARY DECISION — SETTLEMENT AGREEMENT WEDBUSH SECURITIES INC.
CIRO PROPOSED CLARIFYING AMENDMENTS TO REGISTRATION AND PROFICIENCY REQUIREMENTS
SEC REOPENS COMMENT PERIOD FOR ENHANCED SAFEGUARDING RULE FOR REGISTERED INVESTMENT ADVISERS PROPOSAL
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INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS