The Rules and Policies Committee of the Bourse and the Special Committee of the Regulatory Division of the Bourse approved amend...
CN Editor
May 23, 2019
BCSC NOTICE AND REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO BC INSTRUMENT 22-502 REGISTRATION BY THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
REPUBLICATION OF PROPOSED AMENDMENTS - FULLY PAID LENDING AND FINANCING ARRANGEMENTS
FINCEN SEEKS COMMENTS ON PROPOSED SURVEY OF THE COSTS OF AML/CFT COMPLIANCE
CSA EXTENDS COMMENT PERIOD ON PROPOSED PROCESS REFINEMENTS AND OVERSIGHT FOR A DISPUTE RESOLUTION SERVICE FOR INVESTOR COMPLAINTS
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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