On September 26, 2019 the Recognizing CSA Jurisdictions published a Notice of approval / non-objection in respect of proposed req...
CN Editor
September 27, 2019
DISGORGEMENT - PROPOSED AMENDMENTS TO THE MUTUAL FUND DEALER RULES
NEW WEBCAST: NEW CIRO PROFICIENCY MODEL FOR APPROVED PERSONS OF INVESTMENT DEALERS - EXEMPTIONS, RECOGNITION, TRANSITION AND VALIDITY PROVISIONS
NEW WEBCAST: DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
NEW WEBCAST: HIGHLIGHTS OF CIRO"S 2024-25 ENFORCEMENT REPORT
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CIRO NEEDS TO STOP SAYING "SHOULD"
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
OPINION: WHO WILL PAY FOR CIRO"S DATA BREACH?
FORMER BROKER CHARGED IN "FREE RIDER" CASE