The MFDA sanctioned Roman Vendrov ("Vendrov"), a former salesperson with Shah Financial Planning Inc. in Toronto, ON. It was alle...
CN Editor
July 30, 2019
EXEC USED EX-WIFE"S ACCOUNTS FOR INSIDER TRADING: SEC
INVESTOR CLASS-ACTION SETTLEMENT APPROVED
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
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
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FORMER BROKER CHARGED IN "FREE RIDER" CASE