The SEC proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border secu...
CN Editor
May 13, 2019
SIFMA WHITE PAPER: CFP BOARD"S REGULATORY REGIME FOR CFP CERTIFICANTS IMPOSES RISKS ON FINANCIAL SERVICES FIRMS
CFTC CHARGES TWO LOUISIANA-BASED COMPANIES AND COFOUNDER WITH MULTI-MILLION DOLLAR FOREX FRAUD, FAILING TO REGISTER
FEDERAL COURT ORDERS PRECIOUS METALS DEALER, ITS CEO AND PRESIDENT TO PAY $49M FOR FRAUDULENT MISAPPROPRIATION SCHEME
SEC ADOPTS RULE AMENDMENTS AND NEW RULE TO IMPROVE RISK MANAGEMENT AND RESILIENCE OF COVERED CLEARING AGENCIES
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CIRO SANCTIONS RBC DOMINION SECURITIES FOR TRADING RULE VIOLATIONS
NEW WEBCAST: CLIENT FOCUSED REFORMS: CONFLICTS OF INTEREST & JOINT SWEEP CSA/CIRO REPORT
TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO