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
IOSCO SETS THE STANDARD FOR GLOBAL CRYPTO REGULATION
SEC PROPOSES RULE AMENDMENTS AND NEW RULE TO IMPROVE RISK MANAGEMENT AND RESILIENCE OF COVERED CLEARING AGENCIES
SEC REOPENS COMMENT PERIOD FOR PROPOSED RULE AMENDMENTS TO MODERNIZE BENEFICIAL OWNERSHIP REPORTING
NEW SRO AMENDMENTS TO FACILITATE THE INVESTMENT INDUSTRY"S MOVE TO T+1 SETTLEMENT
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NEW SRO ALLEGES FORMER SCOTIA CAPITAL INC. REP CONDUCTED OFF-BOOK INVESTMENTS WITHOUT AUTHORIZATION
NEW SRO ALLEGES FORMER CIBC SECURITIES INC. REP MISAPPROPRIATED FUNDS AND ENGAGED IN PERSONAL FINANCIAL DEALINGS WITH A CLIENT
OSC PUBLISHES ITS 2023-2024 STATEMENT OF PRIORITIES
NEW SRO SANCTIONS FORMER SCOTIA CAPITAL INC. REP FROM HALIFAX, NS