The MFDA imposed sanctions on Bertin Desjardins ("Desjardins"), a former salesperson with Quadrus Investment Services Ltd. in Cha...
CN Editor
July 29, 2019
FCA SEEKS FURTHER VIEWS ON ENFORCEMENT TRANSPARENCY PROPOSALS
CIRO SANCTIONS FORMER INVESTORS GROUP REP FROM WINNIPEG, MANITOBA
SEC CHARGES KEN LEECH, FORMER CO-CHIEF INVESTMENT OFFICER OF WESTERN ASSET MANAGEMENT CO., WITH FRAUD
CIRO SANCTIONS FORMER STIFEL NICOLAUS CANADA REP FROM TORONTO, ON
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023
CANADIAN SECURITIES REGULATORS EXPLORE STREAMLINING REGISTRATION DELEGATION TO THE CANADIAN INVESTMENT REGULATORY ORGANIZATION