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
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TD BANK ORDERED TO IDENTIFY WHISTLEBLOWER
B.C. FIRM AND FORMER CEO AGREE TO PAY NEARLY HALF A MILLION DOLLARS FOR COMPLIANCE DEFICIENCIES
FAKE INVESTMENT FIRM SANCTIONED
AMF ENTERS INTO AN AGREEMENT WITH APPLE CANADA INC.