The Regulatory Division (the “Division”) of the Bourse issued its first version of the Regulatory Division Participant Scorecard ...
CN Editor
August 02, 2019
BMO FACES MX FRONT RUNNING ALLEGATION
REGULATORY DIVISION ANNUAL REPORT
BROKER FINED FOR UNAUTHORIZED ACCESS VIOLATIONS
NBF SETTLES SUPERVISORY ALLEGATIONS WITH MX
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP