CIRO sanctioned Clarus Securities Inc. for gatekeeper failures. Clarus admitted it had failed to adequately supervise and monitor...
CN Editor
October 11, 2024
CIRO ALLEGES GATEKEEPER FAILURE BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC
CIRO SANCTIONS FORMER ROYAL MUTUAL FUNDS REP FROM VAUGHAN, ON
RULE AMENDMENTS - REQUEST FOR COMMENTS - PROPOSAL TO HARMONIZE CIRO CONTINUING EDUCATION PROGRAMS - PHASE 2
OSC REACHES SETTLEMENT WITH LIQUIDNET CANADA FOR CONFIDENTIALITY BREACHES
Thank you for the feedback!!
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS