IIROC has published for comment proposed amendments (Proposed Amendments) to IIROC’s Universal Market Integrity Rules (UMIR) and...
CN Editor
September 06, 2019
CANADIAN SECURITIES REGULATORS PROPOSE PROHIBITING THE USE OF CHARGEBACKS IN THE DISTRIBUTION OF INVESTMENT FUNDS
INVESTOR ALERT: INVESTMENT RECOVERY SCAM BY IIROC IMPERSONATOR
INVESTOR ALERT: MORGAN PRE LIMITED FALSELY CLAIMS BEING REGULATED BY IIROC
NOTICE OF REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO OSC RULE 48-501 TRADING DURING DISTRIBUTIONS, FORMAL BIDS AND SHARE EXCHANGE TRANSACTIONS AND PROPOSED CHANGES TO COMPANION POLICY 48-501
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL