CIRO sanctioned Desjardins Securities Inc. for inadequate supervision. Desjardins Securities Inc. admitted that it failed to esta...
CN Editor
November 15, 2024
ONTARIO FIRM PAYS $60,000 FOR COMPLIANCE DEFICIENCIES
CIRO SANCTIONS FORMER ASSANTE CAPITAL MANAGEMENT REP FROM VANCOUVER, BC
CIRO SANCTIONS FORMER PFSL INVESTMENTS CANADA LTD REP FROM CALGARY, ALBERTA
FCA SEEKS FURTHER VIEWS ON ENFORCEMENT TRANSPARENCY PROPOSALS
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023