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
ADVISORS FACE NEW U.S. FIDUCIARY REQUIREMENTS
SEC STAFF PUBLISHES NEW REGISTERED FUND STATISTICS REPORT
FCA LOOKS FOR MEMBERS FOR ITS ADVISORY COMMITTEE ON SECONDARY MARKETS
SEC CHARGES FIVE INVESTMENT ADVISERS FOR MARKETING RULE VIOLATIONS
Thank you for the feedback!!
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