The Ombudsman for Banking Services and Investments (OBSI) is now seeking input from stakeholders and the public in relation to th...
CN Editor
September 27, 2024
CANADIAN SECURITIES REGULATORS PROPOSE PROHIBITING THE USE OF CHARGEBACKS IN THE DISTRIBUTION OF INVESTMENT FUNDS
UNSUITABLE INVESTMENTS LEAD TO $62K LOSS FOR INVESTOR
NOTICE OF REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO OSC RULE 48-501 TRADING DURING DISTRIBUTIONS, FORMAL BIDS AND SHARE EXCHANGE TRANSACTIONS AND PROPOSED CHANGES TO COMPANION POLICY 48-501
SEC SOLICITS PUBLIC COMMENT ON THE FOREIGN PRIVATE ISSUER DEFINITION
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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