The Securities and Exchange Commission announced charges against six individuals and two companies for their involvement in a fra...
CN Editor
October 03, 2022
FINRA FINES FIRST TRUST PORTFOLIOS $10 MILLION FOR VIOLATIONS RELATING TO GIFTS AND ENTERTAINMENT
JSOT CRIMINALLY CHARGES ALEXANDER (ALEX) FRANCIS ONGOMA
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
OSC SETTLEMENT WITH JESSICA TAM IN INSIDER TRADING SCHEME APPROVED BY CAPITAL MARKETS TRIBUNAL
Thank you for the feedback!!
OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP