IIROC and the CSA published an update about the management of conflicts of interest arising from soliciting dealer arrangements....
CN Editor
May 24, 2019
FINAL PHASES OF CLIENT IDENTIFIER REQUIREMENTS TAKE EFFECT
IIROC SANCTIONS RBC DOMINION SECURITIES INC. AND FORMER TORONTO INVESTMENT ADVISOR
CANADIAN SECURITIES REGULATORS PUBLISH FINAL AMENDMENTS TO ENHANCE PROTECTION OF OLDER AND VULNERABLE CLIENTS
MFDA ANNOUNCES DISCIPLINARY PROCEEDING IN RESPECT OF FUNDEX INVESTMENTS REP
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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