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
ENHANCED COST REPORTING - PROPOSED RULE AMENDMENTS
OBSI CONSULTATION ON LOSS CALCULATION FOR COMPLAINTS INVOLVING UNSUITABLY SOLD ILLIQUID EXEMPT MARKET SECURITIES - REQUEST FOR PUBLIC COMMENT
WEBSITE CONSOLIDATION: PHASE 2 UPDATE
CANADIAN SECURITIES REGULATORS PROPOSE AMENDMENTS TO MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
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CIRO SANCTIONS RBC DOMINION SECURITIES FOR TRADING RULE VIOLATIONS
NEW WEBCAST: CLIENT FOCUSED REFORMS: CONFLICTS OF INTEREST & JOINT SWEEP CSA/CIRO REPORT
TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO