IIROC is proposing amendments to Rule 2650 (Continuing Education Requirements for Approved Persons). IIROC Notice 19-0117 outline...
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July 12, 2019
IIAC"S COMMENTS ON PROPOSED AMENDMENTS TO NI-81-102 - INVESTMENT FUNDS PERTAINING TO CRYPTO-ASSETS
CIRO RULE CONSOLIDATION PROJECT - PHASE 3
IIAC COMMENTS ON FULLY PAID LENDING PROPOSALS
CFTC EXTENDS PUBLIC COMMENT PERIOD FOR PROPOSED RULE ON REAL-TIME PUBLIC REPORTING REQUIREMENTS AND SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS