The Mutual Fund Dealer CE Program will be ending on November 30, 2023. Program Administrators can access the Compliance Status se...
CN Editor
September 20, 2023
STREAMLINED ACCREDITATION PROCESS WITH CERTS CROSS-LISTING OPTION
DENVER-BASED EDUCATION PROVIDER ACQUIRES SEEWHY FINANCIAL LEARNING
FOR FINANCIAL PLANNERS, CONTINUING EDUCATION MATTERS MORE THAN EVER
DISGORGEMENT - PROPOSED AMENDMENTS TO THE MUTUAL FUND DEALER RULES
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OSC SEEKS TO ENFORCE D&O SANCTIONS
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.