CIRO sanctioned Lifan Song, a former dealing representative with Investors Group Financial Services Inc. from Winnipeg, Manitoba....
CN Editor
February 26, 2024
INVESTOR ALERT: FRAUDULENT WEBSITES IMPERSONATING CIRO WEBPAGE
CONCERNS FOLLOW REGULATORS" SURVEY OF MUTUAL FUND REPS
CIRO ISSUES UPDATES ON PROPOSED INCORPORATED ADVISOR RULE AMENDMENTS
PATCHING TOGETHER CANADA"S FRAGMENTED SECURITIES REGULATORY SYSTEM
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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
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS