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 PROPOSE PROHIBITING THE USE OF CHARGEBACKS IN THE DISTRIBUTION OF INVESTMENT FUNDS
INVESTOR ALERT: INVESTMENT RECOVERY SCAM BY IIROC IMPERSONATOR
INVESTOR ALERT: MORGAN PRE LIMITED FALSELY CLAIMS BEING REGULATED BY IIROC
NOTICE OF REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO OSC RULE 48-501 TRADING DURING DISTRIBUTIONS, FORMAL BIDS AND SHARE EXCHANGE TRANSACTIONS AND PROPOSED CHANGES TO COMPANION POLICY 48-501
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SEC FINES CANADIAN FIRM OVER REGISTRATION
CIRO SANCTIONS CANACCORD GENUITY CORP. FOR FAILING TO MEET GATEKEEPER OBLIGATIONS
CIRO SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM CALGARY, AB
FINRA PROPOSES GIFT LIMIT INCREASE