IIROC republished for comment revisions to the previously published proposed amendments to its Dealer Member Rules (DMRs) and For...
CN Editor
August 30, 2019
CANADIAN SECURITIES REGULATORS ANNOUNCE TEMPORARY EXEMPTIONS FOR DERIVATIVES DEALERS AND ADVISERS
OSC SEEKS FEEDBACK ON PROPOSED PROCESS FOR DISTRIBUTING DISGORGED FUNDS TO HARMED INVESTORS
DEALERS QUESTION LACK OF COST SAVINGS UNDER CIRO"S PROPOSED FEE MODEL
CIRO RULE AMENDMENTS - REQUEST FOR COMMENTS - PROPOSED PROFICIENCY MODEL - APPROVED PERSONS UNDER THE INVESTMENT DEALER AND PARTIALLY CONSOLIDATED RULES
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TD BANK ORDERED TO IDENTIFY WHISTLEBLOWER
B.C. FIRM AND FORMER CEO AGREE TO PAY NEARLY HALF A MILLION DOLLARS FOR COMPLIANCE DEFICIENCIES
FAKE INVESTMENT FIRM SANCTIONED
AMF ENTERS INTO AN AGREEMENT WITH APPLE CANADA INC.