New SRO sanctioned Stephen Scott Smockum, a former dealing representative with GP Wealth from Norwood, Ontario. New SRO found tha...
CN Editor
March 13, 2023
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
CIRO ALLEGES WRONGDOING BY FORMER RR WITH SCOTIA SECURITIES IN VICTORIA, BC
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS AND FAILURE TO COOPERATE BY FORMER VENTUM FINANCIAL CORP REP FROM VANCOUVER, BC
CIRO TO HOLD A DISCIPLINARY HEARING FOR FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
Thank you for the feedback!!
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS