On July 25, 2019, the applicable securities regulatory authorities approved amendments to UMIR Rule 6.6 (Amendments) that modify...
CN Editor
August 09, 2019
PROPOSED AMENDMENTS RESPECTING NET ASSET VALUE ORDERS AND INTENTIONAL CROSSES
TRIBUNAL TRIMS SANCTIONS AGAINST FORMER REP
CIRO PROPOSED AMENDMENTS RESPECTING THE REASONABLE EXPECTATION TO SETTLE A SHORT SALE
CIRO PROPOSED GUIDANCE ON UMIR REQUIREMENTS RELATED TO SHORT SELLING AND FAILED TRADES
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TD BANK ORDERED TO IDENTIFY WHISTLEBLOWER
B.C. FIRM AND FORMER CEO AGREE TO PAY NEARLY HALF A MILLION DOLLARS FOR COMPLIANCE DEFICIENCIES
FAKE INVESTMENT FIRM SANCTIONED
AMF ENTERS INTO AN AGREEMENT WITH APPLE CANADA INC.