This list is published quarterly and identifies securities that qualify for a reduced margin rate of 30% for client positions and...
CN Editor
February 06, 2023
NEW SRO CHANGES ITS NAME TO CANADIAN INVESTMENT REGULATORY ORGANIZATION
NEW SRO INVESTOR ALERT: IIROC IMPERSONATION
NEW SRO INVESTOR ALERT: ADVISOR IMPERSONATION SCHEMES
AMENDMENTS TO THE IDPC RULES AND TO IDPC FORM 1 REGARDING THE FLOATING INDEX MARGIN RATE METHODOLOGY
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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