The Securities and Exchange Commission announced settled charges against five registered investment advisers for Marketing Rule v...
CN Editor
April 15, 2024
BCSC ISSUES NOTICE TO REINFORCE EXPECTATIONS FOR INVESTOR RELATIONS DISCLOSURE
ADVISORS FACE NEW U.S. FIDUCIARY REQUIREMENTS
SEC STAFF PUBLISHES NEW REGISTERED FUND STATISTICS REPORT
SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS