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
Thank you for the feedback!!
SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL