The CSA issued a staff notice that provides guidance to firms that are directly regulated by the provincial authorities (such as ...
August 23, 2019
MFDA PERFORMANCE REPORTING TARGETED REVIEW
OSC PUBLISHES GUIDANCE ON ENFORCEMENT INVESTIGATIONS AND DOCUMENT PRODUCTION
FSRA PROPOSES FEES FOR TITLE REGULATION
SEC SETTLES WITH UBS OVER USE OF VOLATILITY-LINKED PRODUCT
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PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS