The CFTC issued two orders today filing and settling charges against John Lawrence and his employer, Heraeus Metals New York LLC,...
September 17, 2019
FP CANADA FIELDED 66 COMPLAINTS, CONDUCTED 11 HEARINGS IN 2020
MFDA ACCEPTS SETTLEMENT AGREEMENT WITH MANULIFE REP
MFDA ACCEPTS SETTLEMENT AGREEMENT WITH CREDENTIAL ASSET MANAGEMENT REP
MFDA SANCTIONS FORMER BMO INVESTMENTS REP
Thank you for the feedback!!
PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS