The Regulatory Division (the “Division”) of the TMX is publishing, in this circular, its Compliance Priorities and the Regulatory...
CN Editor
January 08, 2024
REGULATORY DIVISION ANNUAL REPORT
RESIGNATION OF AN APPROVED PARTICIPANT HSBC SECURITIES (CANADA) INC.
DESJARDINS SANCTIONED IN MX SETTLEMENT
CLIENT AND ORDER IDENTIFIERS PUBLICATION OF GUIDELINES
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
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CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS