Jurors in New York federal court returned a verdict in the Securities and Exchange Commission"s favor against a trading firm head...
CN Editor
November 13, 2019
OSC CAN NOW COME KNOCKING IN YOUR INBOX
SEC, CFTC SETTLE WITHH FUND MANAGERS
CIRO SANCTIONS ECHELON WEALTH PARTNERS AND STEPHEN BURNS
SEC PUBLISHES DATA ON BROKER-DEALERS, MERGERS & ACQUISITIONS, AND BUSINESS DEVELOPMENT COMPANIES
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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