CIRO is pleased to present their annual Compliance Priorities Report: Helping Firms with Compliance for 2024. This report summari...
CN Editor
March 14, 2024
OSC AND CIRO REPORT HIGHLIGHTS SALES CULTURE CONCERNS AT CANADA"S LARGEST BANK-AFFILIATED DEALERS
CIRO MEMBER NAME CHANGE: WORLDSOURCE SECURITIES INC.
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM VANCOUVER, BC
GUIDANCE ON TRADING HALT PROCEDURES FOR CDRS AND SINGLE-STOCK ETFS
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL