The CFTC announced that the U.S. District Court for the Northern District of Georgia entered a default judgment against defendan...
CN Editor
August 12, 2019
SEC NAMES NEW ENFORCEMENT CHIEF
OPERATION ATLANTIC DISRUPTS MORE THAN $45 MILLION IN CRYPTOCURRENCY FRAUD, FREEZES $12 MILLION IN STOLEN FUNDS
CIRO ALLEGES UNAUTHORIZED TRANSACTION AND PERSONAL FINANCIAL DEALINGS BY FORMER SCOTIA SECURITIES REP FROM OTTAWA, ON
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS AND FAILURE TO COOPERATE BY FORMER VENTUM FINANCIAL CORP REP FROM VANCOUVER, BC
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE