The ASC has sanctioned, Henry Ian Thor ("Thor"), a former Registered Representative with Raymond James Ltd. in Edmonton, AB. Thor...
CN Editor
June 04, 2019
SEC NAMES NEW ENFORCEMENT CHIEF
CIRO ALLEGES UNAUTHORIZED TRANSACTION AND PERSONAL FINANCIAL DEALINGS BY FORMER SCOTIA SECURITIES REP FROM OTTAWA, ON
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS AND FAILURE TO COOPERATE BY FORMER VENTUM FINANCIAL CORP REP FROM VANCOUVER, BC
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER TD INVESTMENT SERVICES REP FROM SURREY, BC
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE