IIROC has published for comment proposed amendments (Proposed Amendments) to IIROC’s Universal Market Integrity Rules (UMIR) and...
CN Editor
September 06, 2019
FINAL PHASES OF CLIENT IDENTIFIER REQUIREMENTS TAKE EFFECT
IIROC SANCTIONS RBC DOMINION SECURITIES INC. AND FORMER TORONTO INVESTMENT ADVISOR
CANADIAN SECURITIES REGULATORS PUBLISH FINAL AMENDMENTS TO ENHANCE PROTECTION OF OLDER AND VULNERABLE CLIENTS
IIROC SANCTIONS FORMER CALGARY INVESTMENT ADVISOR
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PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS