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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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