The MFDA imposed sanctions on Prabhdyal Singh Rai(Rai), a former salesperson with Carte Wealth Management in Toronto, ON. The hea...
CN Editor
July 26, 2019
FCA SPEARHEADS GLOBAL ACTION TO STOP ILLEGAL FINFLUENCERS
FIRM AVOIDS HEFTY FCA FINE WITH LARGE CLIENT PAYOUT
COURT REJECTS EX-REP"S APPEAL OF FRAUD CONVICTION
SEJEAN REID AND WHITNEY CHARLES CHARGED WITH FRAUD AND MONEY LAUNDERING
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS