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
IIROC SANCTIONS RBC DOMINION SECURITIES INC. AND FORMER TORONTO INVESTMENT ADVISOR
OSC PUBLISHES GUIDANCE ON ENFORCEMENT INVESTIGATIONS AND DOCUMENT PRODUCTION
CANADIAN SECURITIES REGULATORS PUBLISH FINAL AMENDMENTS TO ENHANCE PROTECTION OF OLDER AND VULNERABLE CLIENTS
IIROC SANCTIONS FORMER CALGARY INVESTMENT ADVISOR
Thank you for the feedback!!
PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS