IIROC has published for comment proposed amendments (Proposed Amendments) to IIROC’s Universal Market Integrity Rules (UMIR) and...
CN Editor
September 06, 2019
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
NASAA SEEKS PUBLIC COMMENT ON PROPOSED NASAA MODEL FRANCHISE BROKER REGISTRATION ACT
Thank you for the feedback!!
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.