The MFDA sanctioned FundEx Investments Inc. in Vaughan, ON. FundEx admiited to: (1) failing to adequately supervise Approved Pe...
CN Editor
September 16, 2019
CFTC CHARGES KUCOIN WITH OPERATING ILLEGAL DIGITAL ASSET DERIVATIVES EXCHANGE
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CFTC ORDERS U.S. BANK TO PAY $6 MILLION AND OPPENHEIMER TO PAY $1 MILLION OF RECORDKEEPING AND SUPERVISION FAILURES FOR FIRM-WIDE USE OF UNAPPROVED COMMUNICATION METHODS
CIRO SANCTIONS FORTRADE CANADA LIMITED FOR SUPERVISORY FAILURES
Thank you for the feedback!!
CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
OSC REPORT SHEDS LIGHT ON DARK PATTERNS AND OTHER MANIPULATIVE DIGITAL ENGAGEMENT PRACTICES
FINANCIAL WATCHDOG STOPS THOUSANDS OF MISLEADING ADS AND PROMOTIONS
CIRO SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM WINNIPEG, MB