The SEC has voted to propose a new rule designed to enhance the regulation of the use of derivatives by registered investment com...
CN Editor
November 26, 2019
MODERNIZING SEC RULES TO REFLECT TODAY"S COMMUNICATIONS PRACTICES
VICTIMS OF U.S. - BASED DFRF FRAUD CAN SEEK COMPENSATION WITH U.S. AUTHORITIES
CRYPTO SECTOR REGULATION STILL PATCHY
SEC CONTINTUES EFFORTS TO ASSIST MARKET PARTICIPANTS DURING IMPLEMENTATION OF TREASURY CLEARING RULES
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS