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
CSA EXTENDS COMMENT PERIOD ON PROPOSED PROCESS REFINEMENTS AND OVERSIGHT FOR A DISPUTE RESOLUTION SERVICE FOR INVESTOR COMPLAINTS
DISGORGEMENT - PROPOSED AMENDMENTS TO THE MUTUAL FUND DEALER RULES
TREASURY ISSUES REQUEST FOR COMMENT RELATED TO THE GUIDING AND ESTABLISHING NATIONAL INNOVATION FOR U.S. STABLECOINS (GENIUS) ACT
REQUEST FOR COMMENTS - AMENDMENTS TO THE RULES OF BOURSE DE MONTREAL INC. REGARDING APPROVED PARTICIPANT"S ONGOING INFORMATION REQUIREMENTS
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AGENT SANCTIONED FOR KYC, CLIENT FUNDRAISER
OSC REJECTS NEW ORDER TYPE ON FAIR ACCESS GROUNDS
FINTRAC UPDATES ITS ADMINISTRATIVE MONETARY PENALITIES POLICY
NATIONAL RISK ASSESSMENT