An MFDA Hearing Panel has sanctioned Blair Harcourt Addison ("Addison"), a former mutual fund salesperson with Desjardins Financi...
CN Editor
June 06, 2019
IIAC: RECOMMENDATIONS FOR OSC ENFORCEMENT MONEY
CIRO SANCTIONS RAYMOND JAMES REP FROM QUEBEC CITY
EX-BROKER PLEADS GUILTY IN CRYPTO FRAUD CASE
MUTUAL FUND DEALER CE CYCLE 1, ENDING NOVEMBER 30, 2023
Thank you for the feedback!!
INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS