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 SANCTIONS BMO NESBITT FOR MANIPULATIVE AND DECEPTIVE TRADING
MX PROPOSES RETAIL-FOCUSED REFORMS
GUIDANCE RESPECTING ORDER EXECUTION ONLY ACCOUNTS AS A FORM OF THIRD-PARTY ELECTRONIC ACCESS TO MARKETPLACES
GUIDANCE ON CERTAIN MANIPULATIVE AND DECEPTIVE TRADING PRACTICES
Thank you for the feedback!!
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
EX-TD BANKERS LAND IN JAIL
CIRO SANCTIONS SCOTIA SECURITIES FOR COMPLAINT HANDLING FAILURES
SIMA RESPONDS TO CIRO"S PROPOSED CHANGES TO CLIENT DELIVERY OBLIGATIONS