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
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS
CIRO ALLEGES FAILURE TO COOPERATE BY FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS REP FROM TORONTO, ON
CIRO SANCTIONS FORMER PFSL INVESTMENTS CANADA REP FROM WOODBRIDGE, ON
CIRO ALLEGES MISAPPROPRIATION BY FORMER SCOTIA SECURITIES INC REP FROM BURLINGTON, ON
Thank you for the feedback!!
JIMMY DELINIS PLEADS GUILTY IN $1.3 MILLION INVESTMENT SCHEME
CIRO FINDS FORMER REPS WITH PFSL INVESTMENTS CANADA IN MISSISSAUGA LIABLE FOR PERSONAL FINANCIAL DEALING
CIRO ALLEGES UNSUITABLE INVESTMENTS BY WFG SECURITIES INC REP FROM SURREY, BC
OSC: REGISTRATION, INSPECTIONS AND EXAMINATIONS DIVISION SETS OUT ITS 2026-2027 EXAMINATION PRIORITIES