Currently, investment dealer members are required to provide the “Making a Complaint” and “How Can I Get My Money Back” brochures...
CN Editor
March 27, 2024
FEE REBATE FOR MEMBER FIRMS
CFFIM RESPONSE TO CIRO"S RULE CONSOLIDATION PROJECT - PHASE 5
QUEBEC REGISTRATION RESPECTING COMPLAINT PROCESSING AND DISPUTE RESOLUTION IN THE FINANCIAL SECTOR - CIRO DEALER MEMBER EXEMPTIONS
EXEMPTIONS GRANTED BY CIRO IN 2024
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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