On September 6, 2019, amendments to the Dealer Member Rules come into effect respecting order execution services (OES). The amen...
CN Editor
August 07, 2019
COINBASE CANADA GETS CSA REGISTRATION
SEC ADOPTS AMENDMENTS TO ENHANCE DISCLOSURE OF ORDER EXECUTION INFORMATION
ORDER PROTECTION RULE: MARKET SHARE THRESHOLD EFFECTIVE AS OF APRIL 1, 2024
SEC ADOPTS RULES TO INCLUDE CERTAIN SIGNIFICANT MARKET PARTICIPANTS AS "DEALERS" OR "GOVERNMENT SECURITIES DEALERS"
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS