CIRO sanctioned Lucie Roland (Roland), a former assistant with National Bank Financial Inc. from Joliette, Quebec. CIRO found Rol...
CN Editor
October 29, 2024
CIRO SANCTIONS VALEURS MOBILIERES DESJARDINS INC. REP FROM MONTREAL, QUEBEC
CIRO SANCTIONS FORMER HOLLISWEALTH ADVISORY SERVICES REP FROM LONDON, ON
OSC ANNOUNCES PLANS TO DELEGATE EXPANDED REGISTRATION FUNCTIONS TO CIRO
CANADIAN SECURITIES REGULATORS EXPLORE STREAMLINING REGISTRATION DELEGATION TO THE CANADIAN INVESTMENT REGULATORY ORGANIZATION
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TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO
CIRO SANCTIONS FORMER NATIONAL BANK FINANCIAL ASSISTANT FROM JOLIETTE, QUEBEC
CIRO SANCTIONS ROYAL MUTUAL FUNDS INC. FOR INADEQUATE CONTROLS AND SUPERVISION