IIROC and the CSA published an update about the management of conflicts of interest arising from soliciting dealer arrangements....
CN Editor
May 24, 2019
FCA FINDS FAILINGS AT SMALLER FIRMS
ESMA CONSULTS ON ESG RATING RULES
OSC SEEKS $37.5 MILLION IN BRIDGING SANCTIONS
CIRO SANCTIONS FORMER ROYAL MUTUAL FUNDS REP FROM SURREY, BC
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CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK
GUIDANCE ON DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
EX-ADVISORY FIRM CEO LANDS IN PRISON
OSC RESEARCH UNCOVERS CONCERNS ABOUT FINFLUENCERS" POWER OF PERSUASION