U.S. securities industry lobbyists are opposing the introduction of state-level fiduciary standards, which several states are see...
CN Editor
March 04, 2019
SEC CHARGES FORMER PUBLIC COMPANY OFFICER AND HIS SISTER-IN-LAW WITH INSIDER TRADING
JP MORGAN AFFILIATES TO PAY $151 MILLION TO RESOLVE SEC ENFORCEMENT ACTIONS
SIFMA WHITE PAPER: CFP BOARD"S REGULATORY REGIME FOR CFP CERTIFICANTS IMPOSES RISKS ON FINANCIAL SERVICES FIRMS
FUND DEALER FIDUCIARY DUTY CLASS ACTIONS FAILS
Thank you for the feedback!!
CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON
NEW CIRO MEMBER - NDAX CANADA INC.
CIRO MEMBER CHANGE OF CONTROL: OPTIMIZE WEALTH PARTNERS INC.