Derivatives market regulators settled with UBS Securities LLC over violations involving the firm’s oversight of access to the ele...
CN Editor
May 12, 2022
SEC SANCTIONS MUTUAL FUND GREENWASHING
MFDA SANCTIONS FORMER TD REP IN CALGARY, AB
MFDA SANCTIONS FORMER ROYAL MUTUAL FUNDS REP IN OTTAWA, ON
MFDA SANCTIONS FORMER INVESTORS GROUP REP IN VAUGHAN, ON
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IIROC FINES CANACCORD GENUITY CORP.
IIROC BANS, FINES FORMER ADVISOR $1 MILLION
MUJAHID ALI SYED AND SANJIV KATYAL CHARGED WITH SECURITIES FRAUD TARGETING MEMBERS OF THE PAKISTANI-CANADIAN COMMUNITY
CSA ENDORSES INDUSTRY MOVE TO T+1