CIRO alleged that Debojyoti (Debo) Majumder, a former dealing representative with HSBC Investment Funds (Canada) inc. from Richmo...
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January 07, 2026
CIRO ALLEGES GATEKEEPER FAILURE BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC
CIRO SANCTIONS FORMER ROYAL MUTUAL FUNDS REP FROM VAUGHAN, ON
RULE AMENDMENTS - REQUEST FOR COMMENTS - PROPOSAL TO HARMONIZE CIRO CONTINUING EDUCATION PROGRAMS - PHASE 2
OSC REACHES SETTLEMENT WITH LIQUIDNET CANADA FOR CONFIDENTIALITY BREACHES
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS