CIRO sanctioned Lucie Roland (Roland), a former assistant with National Bank Financial Inc. from Joliette, Quebec. CIRO found Rol...
CN Editor
October 29, 2024
FCA SPEARHEADS GLOBAL ACTION TO STOP ILLEGAL FINFLUENCERS
HOUSEKEEPING AMENDMENTS TO THE GENERAL NOTES AND DEFINITIONS TO MFDR FORM 1 AND IDPC FORM 1 RELATED TO DERECOGNITION OF FINANCIAL LIABILITIES
AI MEANS POTENTIAL "BIG SHIFT" IN REGULATORY RESPONSIBILITIES: KRIEGLER
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
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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