IIROC published guidance to clarify how Order Execution Only (OEO) investment firms may use automation in their approval process...
CN Editor
August 29, 2019
CIRO PROPOSES NEW GUIDANCE FOR ORDER EXECUTION ONLY DEALERS
INVESTOR ALERT: INVESTMENT RECOVERY SCAM BY IIROC IMPERSONATOR
INVESTOR ALERT: MORGAN PRE LIMITED FALSELY CLAIMS BEING REGULATED BY IIROC
NOTICE OF MINISTERIAL APPROVAL OF OSC RULE 81-510 DEALER REBATES OF TRAILING COMMISSIONS
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OSC SEEKS TO ENFORCE D&O SANCTIONS
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.