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
IIAC TO MANITOBA: TITLES ARE REGULATED BY CSA AND CIRO
IIAC: RECOMMENDATIONS FOR OSC ENFORCEMENT MONEY
CANADIAN SECURITIES REGULATORS PROPOSE INTRODUCTION OF EXPEDITED SHELF PROSPECTUS REGIME FOR WELL-KNOWN SEASONED ISSUERS
NEW WEBCAST: SRO EXAMINATION SERIES #1: FINANCIAL OPERATIONS (FINOPS) HOSTED BY THE INVESTMENT INDUSTRY ASSOCIATION OF CANADA (IIAC)
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CIRO ALLEGES PI FINANCIAL CORP REP FAILED IN HIS GATEKEEPER OBLIGATIONS
COMPETENCY PROFILES FOR APPROVED PERSONS (INVESTMENT DEALERS)
SEC CHARGES VIRTU FOR FALSE AND MISLEADING DISCLOSURES RELATING TO INFORMATION BARRIERS
CIRO ADVISORY COMMITTEES