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 PUBLISHES GUIDANCE ON ENFORCEMENT INVESTIGATIONS AND DOCUMENT PRODUCTION
SEC SETTLES WITH UBS OVER USE OF VOLATILITY-LINKED PRODUCT
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH PFSL INVESTMENTS CANADA REP
INTERNATIONAL ONLINE TRADING PLATFORMS PAY MORE THAN $4 MILLION FOLLOWING SETTLEMENT WITH THE OSC
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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