The CFTC filed a civil enforcement action in the U.S. District Court for the Northern District of Illinois against Michael Nowak,...
CN Editor
September 17, 2019
CFTC ANNOUNCES INNOVATION TASK FORCE STAFF
OSC ANNOUNCES ALLEGATIONS AGAINST EMERITA RESOURCES CORP. AND ASSOCIATED INDIVIDUALS
SEC NAMES NEW ENFORCEMENT CHIEF
CIRO ALLEGES UNAUTHORIZED TRANSACTION AND PERSONAL FINANCIAL DEALINGS BY FORMER SCOTIA SECURITIES REP FROM OTTAWA, ON
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE