The MFDA sanctioned Jesse Vu ("Vu"), a former salesperson with Peak Investment Services Ltd in Calgary, AB. Vu admitted that she ...
CN Editor
November 08, 2019
WEBSITE CONSOLIDATION: PHASE 2 UPDATE
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CIRO SANCTIONS FORMER QUADRUS INVESTMENT SERVICES LTD REP FROM CALGARY, ALBERTA
PARTICIPANTS SUBJECT TO CIRO"S MUTUAL FUND DEALER (MFD) AND THE CSF"S CONTINUING EDUCATION (CE) PROGRAMS
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL