IIROC has put out a new webcast discussing the the risks and challenges, the unique difficulties and concerns associated with ide...
CN Editor
September 04, 2019
COURT UPHOLDS OSC DECISION DENYING REP"S APPEAL
NEW SRO PROFICIENCY COMMITTEE - CALL FOR APPLICATIONS
NEW SRO INVESTOR ALERT: SOHOCAPITALGROUP
SEC REOPENS COMMENT PERIOD FOR PROPOSED CYBERSECURITY RISK MANAGEMENT RULES AND AMENDMENTS FOR REGISTERED INVESTMENT ADVISERS AND FUNDS
Thank you for the feedback!!
NEW SRO ALLEGES FORMER SCOTIA CAPITAL INC. REP CONDUCTED OFF-BOOK INVESTMENTS WITHOUT AUTHORIZATION
NEW SRO ALLEGES FORMER CIBC SECURITIES INC. REP MISAPPROPRIATED FUNDS AND ENGAGED IN PERSONAL FINANCIAL DEALINGS WITH A CLIENT
OSC PUBLISHES ITS 2023-2024 STATEMENT OF PRIORITIES
NEW SRO SANCTIONS FORMER SCOTIA CAPITAL INC. REP FROM HALIFAX, NS