CIRO sanctioned Lucie Roland (Roland), a former assistant with National Bank Financial Inc. from Joliette, Quebec. CIRO found Rol...
CN Editor
October 29, 2024
SEC AND CFTC ANNOUNCE HISTORIC MEMORANDUM OF UNDERSTANDING BETWEEN AGENCIES
REPORT FROM FINRA BOARD OF GOVERNORS MEETING - MARCH 2026
NEW GUIDANCE ON ORDER EXECUTION ONLY ACCOUNT SERVICES AND ACTIVITIES
GUIDANCE ON ORDER EXECUTION ONLY ACCOUNT SERVICES AND ACTIVITIES
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CIRO NEEDS TO STOP SAYING "SHOULD"
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
OPINION: WHO WILL PAY FOR CIRO"S DATA BREACH?
FORMER BROKER CHARGED IN "FREE RIDER" CASE