The designated financial services advisor (DFSA) credential, overseen by the Canadian Securities Institute (CSI), officially no l...
CN Editor
November 25, 2024
LETTER: OSC"S PROPOSED DISGORGEMENT PROVISIONS ARE UNFAIR AND INADEQUATE
SECURITIES FIRMS ENJOY SOLID OUTLOOK FOR 2025: FITCH
AFTER ATTACK ON HIROSHIMA CLIENT, NOMURA TIGHTENS CONTROLS
ASIC REPORTS ON INDUSTRY COMPLAINT HANDLING
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
ONTARIO FIRM PAYS $60,000 FOR COMPLIANCE DEFICIENCIES
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023