The SEC and the CFTC announced that the Options Clearing Corporation (OCC) will undertake remedial efforts and pay $20 million in...
CN Editor
September 06, 2019
FEDERAL COURT ORDERS UNREGISTERED POOL OPERATOR AND ITS PRESIDENT TO PAY OVER $11 MILLION FOR FOREX FRAUD
FEDERAL COURT ORDERS CALIFORNIA-BASED PRECIOUS METALS COMPANY, CEO, SENIOR SALESPERSON TO PAY OVER $56 MILLION FOR FRAUD IN CONNECTION WITH PRECIOUS METALS SALES
ADVISORS FACE NEW U.S. FIDUCIARY REQUIREMENTS
SEC STAFF PUBLISHES NEW REGISTERED FUND STATISTICS REPORT
Thank you for the feedback!!
CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS