The MFDA sanctioned Jerome Thomas Bates ("Bates"), a former salesperson and branch manager with Investia Financial Services in Ch...
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October 28, 2019
MFDA PERFORMANCE REPORTING TARGETED REVIEW
RESEARCH REPORT: IMPROVING FEE DISCLOSURES FOR CANADIAN INVESTOR
OSC PUBLISHES GUIDANCE ON ENFORCEMENT INVESTIGATIONS AND DOCUMENT PRODUCTION
APPROVAL OF MFDA CONTINUING EDUCATION (CE) REQUIREMENTS
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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