The Securities and Exchange Commission today announced charges against activist short seller Andrew Left and his firm, Citron Cap...
CN Editor
July 29, 2024
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
JSOT CRIMINALLY CHARGES ALEXANDER (ALEX) FRANCIS ONGOMA
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
OSC ISSUES TEMPORARY CEASE TRADE ORDER AGAINST ADAM JOSEPH ARQUETTE AND ARQUETTE INSURANCE AND WEALTH MANAGEMENT
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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