TSX welcomed nine new issuers in July 2019, compared with six in the previous month and seven in July 2018. The new listings were...
CN Editor
August 08, 2019
CLEARING MEMBER VOLUNTARY WITHDRAWAL - MACQUARIE CAPITAL MARKETS CANADA LTD.
DISCIPLINARY DECISION — SETTLEMENT AGREEMENT WEDBUSH SECURITIES INC.
TMX ANNOUNCES RESIGNATION OF A FOREIGN APPROVED PARTICIPANT: FRESHWATER SECURITIES LLC
TMX ANNOUNCES RESIGNATION OF AN APPROVED PARTICIPANT: PGM GLOBAL INC.
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INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS