The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with Paul Raymond Baay, President an...
CN Editor
May 19, 2023
ASC ANNOUNCES TEMPORARY FEE COORDINATION APPROACH WITH CIRO TO KEEP REGISTRATION COSTS NEUTRAL
ASC ANNOUNCES APPOINTMENT OF DEANNA STEBLYK, K.C. AS VICE-CHAIR
ASC ALLEGES DANIEL RODOLFO ASTETE AND 2307755 ALBERTA LTD. BREACHED ALBERTA SECURITIES LAWS
COURT OF KING"S BENCH DISMISSES APPEAL OF CONVICTION AND SENTENCE BY RONALD AITKENS
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
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE