The ASC is hosting a webinar to further explore the ideas raised in Consultation Paper 11-701 Energizing Alberta’s Capital Market...
CN Editor
September 17, 2019
CEO SETTLES WITH ASC AFTER ADMITTING TO "TIPPING"
SHANE COURTNEY WARD PERMANENTLY BANNED FROM ALBERTA’S CAPITAL MARKET
ASC ISSUES INTERIM ORDER AGAINST GLENN DONALD HUNTER, KYLE WILLIAM WATTERS, HW & ASSOCIATES INC., AND HW TRADEFX LLC
AS LIBOR ENDS, REGULATORS CUT FIRMS SOME SLACK
Thank you for the feedback!!
NEW SRO ALLEGES FORMER SCOTIA CAPITAL INC. REP CONDUCTED OFF-BOOK INVESTMENTS WITHOUT AUTHORIZATION
NEW SRO ALLEGES FORMER CIBC SECURITIES INC. REP MISAPPROPRIATED FUNDS AND ENGAGED IN PERSONAL FINANCIAL DEALINGS WITH A CLIENT
OSC PUBLISHES ITS 2023-2024 STATEMENT OF PRIORITIES
NEW SRO SANCTIONS FORMER SCOTIA CAPITAL INC. REP FROM HALIFAX, NS