IIROC has published for comment proposed amendments to the Dealer Member Rules that would require firms to report the following...
CN Editor
July 12, 2019
CANADIAN SECURITIES REGULATORS TO ESTABLISH NEW SINGLE ENHANCED SELF-REGULATORY ORGANIZATION
FINAL PHASES OF CLIENT IDENTIFIER REQUIREMENTS TAKE EFFECT
IIROC SANCTIONS RBC DOMINION SECURITIES INC. AND FORMER TORONTO INVESTMENT ADVISOR
CANADIAN SECURITIES REGULATORS PUBLISH FINAL AMENDMENTS TO ENHANCE PROTECTION OF OLDER AND VULNERABLE CLIENTS
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PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS