The investment industry continues to express concerns as the Canadian Investment Regulatory Organization (CIRO) continues rewriti...
CN Editor
September 16, 2024
SUSPECT IN DESJARDINS DATA LEAK INVOLVING 9.7 MILLION MEMBERS ARRESTED IN SPAIN
CIRO MEMBER AMALGAMATION - CI ASSANTE WEALTH MANAGEMENT LTD.
CIRO ALLEGES UNAPPROVED OUTSIDE ACTIVITIES BY FORMER PORTFOLIO STRATEGIES CORPORATION REP FROM VANCOUVER, BC
CIRO ALLEGES FAILURE TO COOPERATE BY FORMER HSBC INVESTMENT FUNDS (CANADA) REP FROM RICHMOND HILL, ON
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ASC ALLEGES JASON DAVID NEALE, RANDAL STEWART THOMPSON AND WILLIAM ALLAN GREEN BREACHED ALBERTA SECURITIES LAWS
DRAMATIC INCREASE IN FINTRAC FINES COMING, BUT THEIR EFFECTIVENESS IS LESS CLEAR
DELAYING THE EFFECTIVE DATE OF THE ANTI-MONEY LAUNDERING/COUNTERING THE FINANCING OF TERRORISM PROGRAM AND SUSPICIOUS ACTIVITY REPORT FILING REQUIREMENTS FOR REGISTERED INVESTMENT ADVISERS AND EXEMPT REPORTING ADVISERS
WITH CRM3 AROUND THE CORNER, HERE"S HOW FINANCIAL SERVICES FIRMS ARE PREPARING