The CFTC announced the filing of a civil enforcement action in the U.S. District Court for the Eastern District of Virginia charg...
CN Editor
September 23, 2019
OSC ISSUES TEMPORARY CEASE TRADE ORDER AGAINST ADAM JOSEPH ARQUETTE AND ARQUETTE INSURANCE AND WEALTH MANAGEMENT
CIRO SANCTIONS FORMER PFSL INVESTMENTS CANADA REP FROM ST. THOMAS, ON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER PFSL INVESTMENTS CANADA REP FROM WOODBRIDGE, ON
CIRO ALLEGES MISAPPROPRIATION AND PERSONAL FINANCIAL DEALINGS BY FORMER PFSL INVESTMENTS CANADA REP FROM EDMONTON, AB
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS