The European Securities and Markets Authority (ESMA) issued a consultation paper on its rules setting position limits in the comm...
CN Editor
November 06, 2019
TRIBUNAL FINDS DAY TRADING PLATFORM ENGAGED IN "SPOOFING"
ONTARIO COURT ORDERS FUND MANAGERS TO PAY $170M FOR MARKET-TIMING TRADING
EX-REP"S LAWSUIT AGAINST ESTABLISHMENT TOSSED
SEC SANCTIONS CANNABIS COMPANY, EXECS
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS