Following the publication for comments by the Canadian Securities Administrators (CSA) of proposed National Instrument 93-101 – D...
CN Editor
November 22, 2019
CFTC SCUTTLES 24/7 FUTURES TRADING BID
SEC, CFTC SEEK PUBLIC COMMENT TO FURTHER CLARIFY AND HARMONIZE DERIVATIVES PRODUCT DEFINITIONS
CFTC ALLOWS ENFORCEMENT DENIALS TOO
B.C. MAN PLEADS GUILTY TO BREACHING BCSC ORDER
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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