The CFTC issued an Order filing and simultaneously settling charges against Merrill Lynch Commodities, Inc. (MLCI), a provisional...
CN Editor
June 26, 2019
CFTC ORDERS CALIFORNIA RESIDENT TO PAY $300,000 FOR A FICTITIOUS SALES SCHEME
IIAC: RECOMMENDATIONS FOR OSC ENFORCEMENT MONEY
CIRO SANCTIONS RAYMOND JAMES REP FROM QUEBEC CITY
CFTC ORDERS CHICAGO-BASED ADVANTAGE FUTURES LLC TO PAY $395,000 FOR SUPERVISION FAILURES
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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