A Quebec court has upheld $285,000 in fines to two individuals and a numbered company following an investigation by the AMF. Acco...
CN Editor
May 28, 2019
TRIBUNAL FINDS DAY TRADING PLATFORM ENGAGED IN "SPOOFING"
ONTARIO COURT ORDERS FUND MANAGERS TO PAY $170M FOR MARKET-TIMING TRADING
STRENGTHENING EXAM PROGRAM THROUGH INNOVATION AND TRANSPARENCY
EX-REP"S LAWSUIT AGAINST ESTABLISHMENT TOSSED
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS