On October 21, the Canadian Securities Administrators (CSA), the Canadian Public Accountability Board (CPAB), and the Office of t...
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October 30, 2024
FCA PUBLISHES LANDMARK REVIEW INTO IMPACT OF AI ON RETAIL FINANCIAL SERVICES
CSA NOTICE REGARDING COORDINATED BLANKET ORDER 31-935 EXEMPTION FROM THE CLIENT REPORTING REQUIREMENTS FOR CERTAIN INSTITUTIONAL CLIENTS AND OVERFLOW ACCOUNTS OF REGISTERED ADVISERS
CSA ANNOUNCES FINAL AMENDMENTS AND CHANGES TO IMPLEMENT AN ACCESS MODEL FOR CERTAIN CONTINUOUS DISCLOSURE DOCUMENTS OF REPORTING ISSUERS OTHER THAN INVESTMENT FUNDS
CFFIM: EVIDENCE, TRANSPARENCY AND INVESTOR PROTECTION
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS