The North American Securities Administrators Association (NASAA) is holding a day-long symposium on current developments related ...
CN Editor
September 25, 2019
ROBOTS ARE COMING FOR RETAIL ADVISORS
CYBER THREATS A GROWING GOVERNANCE ISSUE
NASAA ANNOUNCES SETTLEMENT WITH WELLS FARGO AND MERRILL LYNCH OVER EXCESSIVE COMMISSIONS ON SMALL-DOLLAR TRADES
ADVISOR HACKED, FIRM SANCTIONED
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OSC FLAGS ISSUES WITH INDUSTRY AI USE
NEW WEALTH GROUP LAUNCHES PM BUSINESS COMBINING 4 FIRMS
CIRO ALLEGES GATEKEEPER FAILURES BY CANACCORD GENUITY REP FROM CALGARY, AB
AMEX SANCTIONED FOR AML FAILINGS