The CFTC announced that it filed a pair of enforcement actions against two affiliate marketers, David Sechovich and Peter Szatmar...
CN Editor
October 08, 2019
COURT REJECTS EX-REP"S APPEAL OF FRAUD CONVICTION
SEJEAN REID AND WHITNEY CHARLES CHARGED WITH FRAUD AND MONEY LAUNDERING
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
CIRO SANCTIONS PFSL INVESTMENTS CANADA LTD. FOR SUPERVISORY FAILURES
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS