The IIROC published Guidance advising firms to review their retail client account agreements and to change or remove clauses that...
CN Editor
October 11, 2019
COMSET REPORTING REQUIREMENTS
CIRO GUIDANCE ON RELEVANT EDUCATION AND EXPERIENCE REQUIREMENTS
CIRO PROFICIENCY EXEMPTION REQUESTS
FINCEN ISSUES GUIDANCE TO FINANCIAL INSTITUTIONS ON CROSS-BORDER INFORMATION SHARING
Thank you for the feedback!!
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS