SIFMA released a new white paper analyzing the risks to financial services firms associated with the Certified Financial Planner ...
CN Editor
October 29, 2024
SEC ADOPTS RULE AMENDMENTS AND NEW RULE TO IMPROVE RISK MANAGEMENT AND RESILIENCE OF COVERED CLEARING AGENCIES
SEC SMALL BUSINESS ADVISORY COMMITTEE TO DISCUSS APPROACHES TO VENTURE CAPITAL FUNDRAISING AND CHALLENGES FACING EMERGING FUND MANAGERS
METAVERSE POSES CHALLENGES TO SECURITIES INDUSTRY
FINRA TIGHTENS RULES AROUND CLIENT LENDING
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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