Europe’s securities regulator is preparing to take on greater investor protection responsibilities in the year ahead. The Europe...
CN Editor
October 02, 2019
ESMA APPROVES EQUITY, ETF DATA PROVIDER
ETF ADVISOR SETTLES WITH SEC
INVESTOR CLASS ACTION SETTLEMENT EDGES CLOSER
TRIBUNAL FINDS DAY TRADING PLATFORM ENGAGED IN "SPOOFING"
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS