CIRO sanctioned Pollitt & Co Inc. for internal control violations. CIRO found that between January and December 2020, Pollitt & C...
CN Editor
November 06, 2023
CIRO ALLEGES GATEKEEPER FAILURES BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC
ASC SANCTIONS GLENN HUNTER, KYLE WATTERS, HW & ASSOCIATES INC. AND HW TRADEFX LLC
CSA MARKET UPDATE
CIRO PROPOSES RULE AMENDMENTS TO HARMONIZE ADVISOR COMPENSATION
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS