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
FINCEN SEEKS COMMENTS ON PROPOSED SURVEY OF THE COSTS OF AML/CFT COMPLIANCE
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
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS