The Securities and Exchange Commission and the Commodity Futures Trading Commission announced that they have entered into a Memor...
CN Editor
March 13, 2026
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
CIRO SANCTIONS PFSL INVESTMENTS CANADA LTD. FOR SUPERVISORY FAILURES
NYSE SEEKS APPROVAL FOR TOKENIZED TRADING
SEC AND CFTC JOINTLY PROPOSE AMENDMENTS TO REDUCE PRIVATE FUND REPORTING BURDENS
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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