The CFTC announced that it is extending to September 13 the comment period for the proposed rulemaking to amend certain regulatio...
CN Editor
July 02, 2019
STATES AND CFTC SECURE FINAL JUDGMENT AGAINST PRECIOUS METALS FIRM THAT DEFRAUDED ELDERLY ADULTS
BCSC NOTICE AND REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO BC INSTRUMENT 22-502 REGISTRATION BY THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
REPUBLICATION OF PROPOSED AMENDMENTS - FULLY PAID LENDING AND FINANCING ARRANGEMENTS
FINCEN SEEKS COMMENTS ON PROPOSED SURVEY OF THE COSTS OF AML/CFT COMPLIANCE
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OSC SEEKS TO ENFORCE D&O SANCTIONS
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.