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
FCA DECIDES TO FINE AND BAN ROBIN CRISPIN ODEY
GROWTH OF PRIVATE MARKETS REQUIRES CONTINUED FOCUS ON VALUATIONS
IOSCO PUBLISHES FINAL REPORT ON REGULATORY IMPLICATIONS AND GOOD PRACTICES ON THE EVOLUTION OF MARKET STRUCTURES
RISKS ARISE AS EXCHANGES EVOLVE, IOSCO SAYS
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CIRO SANCTIONS CANACCORD GENUITY CORP. FOR FAILING TO MEET GATEKEEPER OBLIGATIONS
SEC FINES CANADIAN FIRM OVER REGISTRATION
CIRO SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM CALGARY, AB
FINRA PROPOSES GIFT LIMIT INCREASE