CIRO sanctioned Hongjia Liu (Liu), a former Registered Representative with RBC Dominion Securities Inc. from Vancouver, British C...
CN Editor
July 07, 2025
GUIDANCE ON TRADING HALT PROCEDURES FOR CDRS AND SINGLE-STOCK ETFS
INVESTOR ALERT: FRAUDULENT WEBSITE IMPERSONATING FUNDS DIRECT CANADA INC. AND FALSELY CLAIMING CIRO REGISTRATION
CIRO MEMBER CHANGE OF CONTROL: OANDA (CANADA) CORPORATION ULC
ENHANCED COST REPORTING
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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