The SEC named Marie-Louise (Malou) Huth as Chief Counsel for the Division of Economic and Risk Analysis (DERA). Ms. Huth will l...
CN Editor
November 14, 2019
ADVISORS FACE NEW U.S. FIDUCIARY REQUIREMENTS
SEC STAFF PUBLISHES NEW REGISTERED FUND STATISTICS REPORT
SEC CHARGES FIVE INVESTMENT ADVISERS FOR MARKETING RULE VIOLATIONS
RISKS ARISE AS EXCHANGES EVOLVE, IOSCO SAYS
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS