The Investment Funds Institute of Canada (IFIC) has submitted feedback on the Canadian Investment Regulatory Organization’s (CIRO...
CN Editor
March 19, 2025
SEC, CFTC SEEK PUBLIC COMMENT ON THE HARMONIZATION OF PORTFOLIO MARGINING FRAMEWORKS
SEC, CFTC SEEK PUBLIC INPUT ON DATA REPORTING FRAMEWORKS FOR SECURITY-BASED SWAP AND SWAP MARKETS
SEC, CFTC SEEK PUBLIC COMMENT TO FURTHER CLARIFY AND HARMONIZE DERIVATIVES PRODUCT DEFINITIONS
FCA SEEKS HIGHER FINES FOR RICHER OFFENDERS
Thank you for the feedback!!
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