On June 22, 2016, Bourse de Montréal Inc. (the “Bourse”) published the Request for Comment circular 087-16 with respect to the a...
CN Editor
October 30, 2019
BCSC NOTICE AND REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO BC INSTRUMENT 22-502 REGISTRATION BY THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
REPUBLICATION OF PROPOSED AMENDMENTS - FULLY PAID LENDING AND FINANCING ARRANGEMENTS
FINCEN SEEKS COMMENTS ON PROPOSED SURVEY OF THE COSTS OF AML/CFT COMPLIANCE
CSA EXTENDS COMMENT PERIOD ON PROPOSED PROCESS REFINEMENTS AND OVERSIGHT FOR A DISPUTE RESOLUTION SERVICE FOR INVESTOR COMPLAINTS
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OSC SEEKS TO ENFORCE D&O SANCTIONS
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.