The OSC is warning investors that United Financial Commodity Group (UFCG) is not registered to sell securities in Ontario. UFCG c...
CN Editor
May 27, 2019
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
THAT"S A WRAP ON FUND MANAGER"S RECEIVERSHIP
OSC TAKES ACTION TO INCREASE TRANSPARENCY AND ENCOURAGE COMPLIANCE IN THE EXEMPT MARKET - INTRODUCES AFS NON-DELIVERY LIST AND FOCUSED COMPLIANCE EXAMINATIONS
INVESTOR ALERT: PLUSCAPITALADVISOR FALSELY CLAIMS AFFILIATION WITH W.D. LATIMER CO. LTD. AND CIRO REGISTRATION
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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.
CIRO CYBERSECURITY UPDATES