The Investment Funds Institute of Canada (IFIC) has made a submission to the Canadian Investment Regulatory Organization (CIRO) o...
CN Editor
February 07, 2025
OSC AND CIRO REPORT HIGHLIGHTS SALES CULTURE CONCERNS AT CANADA"S LARGEST BANK-AFFILIATED DEALERS
CIRO MEMBER NAME CHANGE: WORLDSOURCE SECURITIES INC.
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM VANCOUVER, BC
GUIDANCE ON TRADING HALT PROCEDURES FOR CDRS AND SINGLE-STOCK ETFS
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL