The SEC announced that is has voted to adopt a new rule and form amendments that are designed to modernize the regulation of exch...
CN Editor
September 27, 2019
ADVISORS FACE NEW U.S. FIDUCIARY REQUIREMENTS
SEC STAFF PUBLISHES NEW REGISTERED FUND STATISTICS REPORT
OSC STILL OVERSEEING EMERGE CANADA AS RECEIVABLE REMAINS UNPAID
SEC CHARGES FIVE INVESTMENT ADVISERS FOR MARKETING RULE VIOLATIONS
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS