CFA Societies Canada has named Michael Thom, CFA, as its new managing director. Thom assumes the role following a multi-year volu...
CN Editor
July 31, 2019
RISKS ARISE AS EXCHANGES EVOLVE, IOSCO SAYS
HOW TO RUN AN AIRTIGHT PRACTICE THAT PROTECTS CLIENTS AND YOURSELF
SEC ADOPTS RULES TO IMPROVE CLEARING AGENCY GOVERNANCE AND MITIGATE CONFLICTS OF INTEREST
OBSI ANNOUNCES CHANGES TO ITS ORGANIZATIONAL GOVERNANCE
Thank you for the feedback!!
CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS