The Office of the Superintendent of Financial Institutions (OSFI) announced that it will be adopting guidance proposed earlier th...
CN Editor
July 02, 2019
SEC, CFTC SEEK PUBLIC COMMENT TO FURTHER CLARIFY AND HARMONIZE DERIVATIVES PRODUCT DEFINITIONS
CFTC ALLOWS ENFORCEMENT DENIALS TOO
REGULATORS AND AUDIT LEADERS DISCUSS AUDIT QUALITY AND CONFIDENCE IN CANADA"S FINANCIAL REPORTING
OSFI TO LAUNCH EXPEDITED LICENSING PROCESS
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REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS