Updates to the Guidance Note are being made as part of the UMIR Guidance Update Project. This project is to make non-material cha...
CN Editor
November 06, 2025
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
GUIDANCE ON DOUBLE PRINTING
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
CIRO MEMBER CHANGE OF CONTROL - NORTHEAST FINANCIAL CONSULTANTS, LLC
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP