IIROC published guidance to clarify how Order Execution Only (OEO) investment firms may use automation in their approval process...
CN Editor
August 29, 2019
B.C. MAN PLEADS GUILTY TO BREACHING BCSC ORDER
SHORT-SELLING DEALERS STAY SECRET
GUIDANCE RESPECTING THIRD-PARTY ELECTRONIC ACCESS TO MARKETPLACES
USE OF IDENTIFIERS AND NOTIFICATION REQUIREMENTS RESPECTING CERTAIN ORDER EXECUTION ONLY AND DIRECT ELECTRONIC ACCESS CLIENTS AND ADVISERS
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
CIRO SANCTIONS SCOTIA SECURITIES FOR COMPLAINT HANDLING FAILURES
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TOP COURT DECLINES TO HEAR APPEAL IN OSC CASE