The CFTC issued an order filing and simultaneously settling charges against Goldman Sachs & Co. LLC for failing to make and keep ...
CN Editor
November 27, 2019
OSC PUBLISHES GUIDANCE ON ENFORCEMENT INVESTIGATIONS AND DOCUMENT PRODUCTION
SEC SETTLES WITH UBS OVER USE OF VOLATILITY-LINKED PRODUCT
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH PFSL INVESTMENTS CANADA REP
INTERNATIONAL ONLINE TRADING PLATFORMS PAY MORE THAN $4 MILLION FOLLOWING SETTLEMENT WITH THE OSC
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PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS