CIRO has commenced a disciplinary proceeding in respect of Leszek Dziadecki ("Dziadecki"), a former dealing representative with G...
CN Editor
June 05, 2023
BCSC FORFEITURE EFFORT CAN GO AHEAD, DESPITE DELAY
CIRO ALLEGES CONFLICTS OF INTEREST FAILURES BY FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS REP
AMENDMENTS RESPECTING CONTINGENT DERIVATIVE ORDERS
CIRO NEW MEMBER - ASSETPLUS CAPITAL INC.
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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