Brokerage firms that try to pin the blame on regulators as they seek to bring employees back to the office are being called out b...
CN Editor
May 24, 2024
PWL CAPITAL ACQUIRES N.S. - BASED INDEPENDENT ADVISORY FIRM
QUESTRADE SECURES APPROVAL TO LAUNCH CANADA"S NEWEST BANK
MX FINDS BMO NESBITT BURNS ENGAGED IN FRONT RUNNING
FINRA FINES FIRST TRUST PORTFOLIOS $10 MILLION FOR VIOLATIONS RELATING TO GIFTS AND ENTERTAINMENT
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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
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP