Along with others, the Portfolio Management Association of Canada (PMAC) has voiced concerns about a proposal to allow mutual fun...
CN Editor
August 06, 2019
SRO PROPOSAL HIGHLIGHTS INVESTOR RESTITUTION CHALLENGES
GLOBAL REGULATORS COME FOR CRYPTO
INVESTMENT ADVISORS DEMAND RESPECT AND FLEXIBILITY
CANACCORD MANAGEMENT GROUP PROVIDING NO ASSURANCE THAT OFFER WILL BE EXTENDED
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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