The Regulatory Division of Bourse de Montréal Inc. published Circular 130-19 intended to provide regulatory guidance to approved ...
CN Editor
September 30, 2019
TMX UPDATED LIST OF FINES FOR MINOR VIOLATIONS
CIRO SANCTIONS CLARUS SECURITIES INC. FOR GATEKEEPER FAILURES
CFTC AWARDS OVER $4 MILLION TO INSIDER WHISTLEBLOWER
PROPOSED AMENDMENTS TO THE RULES OF THE BOURSE TO MOVE TO T+1
Thank you for the feedback!!
ONTARIO FIRM PAYS $60,000 FOR COMPLIANCE DEFICIENCIES
CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
ELEVATE FINANCIAL CORP. AND ITS PRINCIPALS CONSENT TO ASC REGISTRATION SUSPENSION