On October 15, 2019, the applicable securities regulatory authorities approved amendments (Amendments) to the Dealer Member Rules...
CN Editor
October 18, 2019
SHORT-SELLING DEALERS STAY SECRET
FORMER REP CONVICTED ON FRAUD CHARGES
INVESTOR ALERT: LOONIEFX FALSELY CLAIMS IIROC REGISTRATION
INVESTOR ALERT: TRADOCK LTD FALSELY CLAIMS IIROC REGISTRATION
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN