The Canadian Investment Regulatory Organization has approved the amalgamation of CIRO members, Credential Qtrade Securities Inc.,...
CN Editor
April 05, 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
Thank you for the feedback!!
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