CFA Societies Canada has named Michael Thom, CFA, as its new managing director. Thom assumes the role following a multi-year volu...
July 31, 2019
CFA ADDS PRIVATE WEALTH SPECIALIZATION TO LEVEL III
OBSI GOVERNANCE REFORMS RAISE BIG QUESTIONS
IFIC MAKES SUBMISSION ON OBSI GOVERNANCE REVIEW
TSB FINED £48.65M FOR OPERATIONAL RESILIENCE FAILINGS
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CEO SETTLES WITH ASC AFTER ADMITTING TO "TIPPING"
NEW SRO ALLEGES FORMER SCOTIA SECURITIES INC REP FALSIFIED CLIENT SIGNATURES AND MADE FALSE OR MISLEADING STATEMENTS DURING INVESTIGATION
NEW SRO ALLEGES FORMER CANACCORD GENUITY CORP REP FAILED TO LEARN AND REMAIN INFORMED OF THE ESSENTIAL FACTS RELATIVE TO A CLIENT
SEC ISSUES LARGEST-EVER WHISTLEBLOWER AWARD