The Rules and Policies Committee of Bourse de Montréal Inc. (the “Bourse”) and the Special Committee of the Regulatory Division o...
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June 22, 2022
REGULATORY DIVISION ANNUAL REPORT
RESIGNATION OF AN APPROVED PARTICIPANT HSBC SECURITIES (CANADA) INC.
CLIENT AND ORDER IDENTIFIERS PUBLICATION OF GUIDELINES
FINTRAC STATEMENT - MARCH 22, 2024
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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