On July 25, 2019, the applicable securities regulatory authorities approved amendments to UMIR Rule 6.6 (Amendments) that modify...
CN Editor
August 09, 2019
WEBSITE CONSOLIDATION: PHASE 2 UPDATE
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
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TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO
CIRO SANCTIONS ROYAL MUTUAL FUNDS INC. FOR INADEQUATE CONTROLS AND SUPERVISION
CIRO SANCTIONS FORMER NATIONAL BANK FINANCIAL ASSISTANT FROM JOLIETTE, QUEBEC