The Investment Industry Association of Canada (IIAC) is the national association comprising investment firms that provide product...
CN Editor
September 25, 2023
OSC REACHES SETTLEMENT WITH CLAIR DRAGE OF THE LION"S SHARE GROUP INC. (LION"S SHARE GROUP) AND THE WINDROSE GROUP INC. (WINDROSE GROUP)
MX PROPOSES CHANGES TO ENFORCEMENT
ASC ALLEGES THAT DEAN LABBE AND JULIE LABBE ENGAGED IN ILLEGAL INSIDER TRADING
CIRO SANCTIONS HAYWOOD SECURITIES INC. FOR SUPERVISION FAILURES
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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON