CIRO sanctioned David Somerville, a Dealing representative with Quadrus Investment in Niagara for failing to properly execute cli...
CN Editor
September 02, 2025
SEC"S NEW ENFORCEMENT CHIEF RESIGNS
SALES OF RESTRICTED SECURITIES
TRADING DURING CERTAIN SECURITIES TRANSACTIONS
GUIDANCE ON "LOCKED" AND "CROSSED" MARKETS
Thank you for the feedback!!
CIRO NEEDS TO STOP SAYING "SHOULD"
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
FORMER BROKER CHARGED IN "FREE RIDER" CASE
OPINION: WHO WILL PAY FOR CIRO"S DATA BREACH?