The CFTC and SEC have approved a joint proposal to align the minimum margin required on security futures with other similar finan...
CN Editor
July 10, 2019
GLOBAL STANDARD-SETTING BODIES PUBLISH ASSESSMENT OF MARGIN REQUIREMENTS FOR NON-CENTRALLY CLEARED DERIVATIVES
SEC CHARGES CANADIAN CITIZEN WITH FRAUD SCHEMES THAT TARGETED RETAIL INVESTORS ON DISCORD
CFTC OBTAINS $2M RESTITUTION FOR VICTIMS OF PRECIOUS METALS, FOREIGN CURRENCY POOL FRAUD
SEC SUPPORTS LIFTING CONSTRAINTS ON EQUITY RESEARCH
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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING