CIRO sanctioned Natalie Kiryak (Kiryak), a former dealing representative with Scotia Securities Inc. from Dartmouth, Nova Scotia....
CN Editor
July 10, 2024
ASC ALLEGES BREACH OF ALBERTA SECURITIES LAWS BY CRYPTO ASSET TRADING PLATFORM CATALX CTS LTD. AND ITS CEO AND CFO
AMENDMENTS RESPECTING NET ASSET VALUE ORDERS AND INTENTIONAL CROSSES
NEW WEBCAST: NEW CIRO PROFICIENCY MODEL FOR APPROVED PERSONS OF INVESTMENT DEALERS - EXEMPTIONS, RECOGNITION, TRANSITION AND VALIDITY PROVISIONS
NEW WEBCAST: DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
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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