The Rules and Policies Committee of Bourse de Montréal Inc. (the “Bourse”) and the Special Committee of the Regulatory Division ...
CN Editor
August 26, 2019
REGULATORY DIVISION ANNUAL REPORT
BROKER FINED FOR UNAUTHORIZED ACCESS VIOLATIONS
NBF SETTLES SUPERVISORY ALLEGATIONS WITH MX
TMX UPDATED LIST OF FINES FOR MINOR VIOLATIONS
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BCSC ALLEGES WASH TRADING BY TORONTO SECURITIES LAWYER
CIRO RULE CONSOLIDATION PROJECT - PHASE 5
CIRO CYBERSECURITY SELF-ASSESSMENT TOOL FOR CIRO DEALER MEMBERS
CHANGES TO COMPANION POLICY 81-101 MUTUAL FUND PROSPECTUS DISCLOSURE