The CSA released its fiscal year 2018/19 Enforcement Report, which outlines how securities regulators are protecting investors an...
CN Editor
June 27, 2019
CIRO ALLEGES MISAPPROPRIATION AND PERSONAL FINANCIAL DEALINGS BY FORMER PFSL INVESTMENTS CANADA REP FROM EDMONTON, AB
CSA ENCOURAGES OPEN DIALOGUE AMID TREND TOWARD HYBRID AND SELF-DIRECTED INVESTING
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
SIMA RESPONDS TO CSA CONSULTATION ON ETF REGULATION
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP