IIROC has put out a new webcast that provides an overview of our efforts to protect investors through fair, effective, and timely...
CN Editor
July 31, 2019
NEW WEBCAST: NEW CIRO PROFICIENCY MODEL FOR APPROVED PERSONS OF INVESTMENT DEALERS - EXEMPTIONS, RECOGNITION, TRANSITION AND VALIDITY PROVISIONS
NEW WEBCAST: DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
INVESTOR ALERT: INVESTMENT RECOVERY SCAM BY IIROC IMPERSONATOR
NEW WEBCAST: HIGHLIGHTS OF CIRO"S 2024-25 ENFORCEMENT REPORT
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS