The SEC’s books and records rules on retaining communications are outdated, overly broad, and impose strict liability standards t...
CN Editor
October 17, 2025
VICTIMS OF U.S. - BASED DFRF FRAUD CAN SEEK COMPENSATION WITH U.S. AUTHORITIES
ACCEPTABLE INSTITUTIONS AND ACCEPTABLE COUNTERPARTIES DATABASE
PMAC RESPONSE TO CIRO CONSULTATION ON ACCOUNT TRANSFERS
SIMA RESPONDS TO CIRO"S ACCOUNT-TRANSFER-RULE-MODERNIZATION PROPOSAL
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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 SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS