The SEC provided guidance to assist investment advisers in fulfilling their proxy voting responsibilities. The guidance discusses...
CN Editor
August 22, 2019
VICTIMS OF U.S. - BASED DFRF FRAUD CAN SEEK COMPENSATION WITH U.S. AUTHORITIES
COMSET REPORTING REQUIREMENTS
SEC CONTINTUES EFFORTS TO ASSIST MARKET PARTICIPANTS DURING IMPLEMENTATION OF TREASURY CLEARING RULES
SEC ISSUES ORDER TO REDUCE OPERATING COSTS OF CONSOLIDATED AUDIT TRAIL
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS