CIRO Sanctions Domenic Cappola, Dealing Representative with Investors Group Financial Services, in Richmond Hill, Ontario for: •...
CN Editor
September 02, 2025
CIRO ALLEGES MISAPPROPRIATION AND PERSONAL FINANCIAL DEALINGS BY FORMER PFSL INVESTMENTS CANADA REP FROM EDMONTON, AB
RETAIL CLIENT DATA SUBMISSION PROJECT - UPDATE
UPDATED GUIDANCE ON TRADING HALT PROCEDURES FOR CDRS AND SINGLE-STOCK ETFS
OSC ENFORCING COMPLIANCE WITH DIRECTOR AND OFFICER BANS
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SEEKS TO ENFORCE D&O SANCTIONS