FINRA’s Board of Governors met on Sept. 24-26 at FINRA’s offices in New York, where it approved six rule proposals and received ...
CN Editor
October 04, 2019
FEE REBATE FOR MEMBER FIRMS
CANADIAN SECURITIES REGULATORS PROPOSE PROHIBITING THE USE OF CHARGEBACKS IN THE DISTRIBUTION OF INVESTMENT FUNDS
REGULATORS TO HOLD OUTREACH EVENT FOR MUNICIPAL MARKET PROFESSIONALS
REPORT FROM FINRA BOARD OF GOVERNORS MEETING - JUNE 2025
Thank you for the feedback!!
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