CIRO sanctioned Wei (Wendy) Seto (Seto), a former Registered Representative with RBC Dominion Securities Inc. from Toronto, Ontar...
CN Editor
February 02, 2026
SEC"S NEW ENFORCEMENT CHIEF RESIGNS
SALES OF RESTRICTED SECURITIES
TRADING DURING CERTAIN SECURITIES TRANSACTIONS
GUIDANCE ON "LOCKED" AND "CROSSED" MARKETS
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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?