The MFDA imposed sanctions on James Russell Taylor("Taylor"), a former salesperson with FundEX Investments in Etobicoke, ON. Tayl...
CN Editor
July 24, 2019
EXEC USED EX-WIFE"S ACCOUNTS FOR INSIDER TRADING: SEC
CIRO TO HOLD A SETTLEMENT HEARING FOR INDEPENDENT TRADING GROUP INC.
OSC ALLEGES AUDITING FAILURES BY KPMG IN CONNECTION WITH FOUR BRIDGING FINANCE INC. FUNDS
CIRO TO HOLD A DISCIPLINARY HEARING FOR FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
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GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
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