The Regulatory Division (the “Division”) issues its Newsletter for the period of January 1 to June 30, 2022. The Division issues ...
CN Editor
July 15, 2022
REGULATORY DIVISION ANNUAL REPORT
TMX GROUP LIMITED APPOINTS PETER ROCKANDEL TO THE COMPANY"S BOARD OF DIRECTORS
TMX UPDATED LIST OF FINES FOR MINOR VIOLATIONS
OSC SEEKS APPLICATIONS FOR INVESTOR ADVISORY PANEL
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GUIDANCE ON DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
EX-ADVISORY FIRM CEO LANDS IN PRISON
CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK
OSC RESEARCH UNCOVERS CONCERNS ABOUT FINFLUENCERS" POWER OF PERSUASION