During the COVID-19 pandemic, broker-dealers successfully demonstrated their ability to maintain regulatory compliance remotely i...
CN Editor
February 02, 2023
SIFMA CONDUCTS SUCCESSFUL 2023 INDUSTRY-WIDE BUSINESS CONTINUITY TEST
SIFMA, SIFMA AMG EXPRESS STRONG CONCERNS WITH SEC PROPOSED RULES ON PREDICTIVE DATA ANALYTICS
NEGATIVE IMPACTS OF THE SAFEGUARDING PROPOSAL ON INVESTORS, MARKET PARTICIPANTS, AND THE FINANCIAL MARKETS (JOINT TRADES)
SIFMA STATEMENT ON FINAL SEC MONEY MARKET FUND RULE
Thank you for the feedback!!
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