Kevin McCoy, Vice-President, Market Compliance and Policy, IIROC and Alex Taylor, Vice-President, Surveillance, IIROC, discussed ...
CN Editor
September 29, 2022
ESMA SEEKS REFORMS TO TRADING RULES
NEW WEBCAST: HIGHLIGHTS OF CIRO"S 2024 COMPLIANCE PRIORITIES REPORT: HELPING FIRMS WITH COMPLIANCE
NEW WEBCAST: PANEL AUDITORS ANNUAL CONFERENCE
NEW WEBCAST: TIPS FOR TRADERS - MONTREAL
Thank you for the feedback!!
TD BANK ORDERED TO IDENTIFY WHISTLEBLOWER
B.C. FIRM AND FORMER CEO AGREE TO PAY NEARLY HALF A MILLION DOLLARS FOR COMPLIANCE DEFICIENCIES
FAKE INVESTMENT FIRM SANCTIONED
AMF ENTERS INTO AN AGREEMENT WITH APPLE CANADA INC.