The IIAC published their comments on the proposed amendments to the continuing education rules (IIROC Notice 19-0117). Among some...
CN Editor
August 28, 2019
FINAL PHASES OF CLIENT IDENTIFIER REQUIREMENTS TAKE EFFECT
IIROC SANCTIONS RBC DOMINION SECURITIES INC. AND FORMER TORONTO INVESTMENT ADVISOR
APPROVAL OF MFDA CONTINUING EDUCATION (CE) REQUIREMENTS
CANADIAN SECURITIES REGULATORS PUBLISH FINAL AMENDMENTS TO ENHANCE PROTECTION OF OLDER AND VULNERABLE CLIENTS
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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