CIRO sanctioned Andrew Kazina (Kazina) a former dealing representative with Investors Group Financial Services Inc from Winnipeg,...
CN Editor
November 29, 2024
CFTC STEPS UP WHISTLEBLOWER PAYOUTS
NEW WEBCAST: CLIENT FOCUSED REFORMS (CFRS): TARGETED COMPLIANCE GUIDANCE FOR CIRO DEALER MEMBERS
CLIENT FOCUSED REFORMS (CFR) - TARGETED COMPLIANCE GUIDANCE: PRACTICAL STEPS TO HELP DEALER MEMBERS ("DEALERS") AND APPROVED PERSONS ("APS") MEET THEIR REGULATORY OBLIGATIONS AND PROTECT INVESTORS
COURT REJECTS REP"S SUIT AGAINST REGULATORS
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
CIRO SANCTIONS SCOTIA SECURITIES FOR COMPLAINT HANDLING FAILURES
TOP COURT DECLINES TO HEAR APPEAL IN OSC CASE
WHY MUTUAL FUND ADVISORS AREN"T MOVING TO INVESTMENT DEALERS IN DROVES YET