In recognition of World Investor Week (Sept. 30 – Oct. 6), the North American Securities Administrators Association (NASAA) today...
CN Editor
October 03, 2019
FIRMS OVERCHARGED INVESTORS ON SMALL TRADES: NASAA
NASAA LAUNCHING NEW INVESTOR FOUNDATION
NASAA MEMBERS APPROVE AMENDMENTS FOR MODEL RULE
AS SEC SHIFTS, NASAA TOUTS STATE REGULATION
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL