With capital markets activity projected to pick up, securities firms in both North America and Europe are expected to enjoy stron...
CN Editor
December 04, 2024
LETTER: OSC"S PROPOSED DISGORGEMENT PROVISIONS ARE UNFAIR AND INADEQUATE
AFTER ATTACK ON HIROSHIMA CLIENT, NOMURA TIGHTENS CONTROLS
ASIC REPORTS ON INDUSTRY COMPLAINT HANDLING
BRIDGING INVESTORS MAY FINALLY SEE SOME MONEY
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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
ELEVATE FINANCIAL CORP. AND ITS PRINCIPALS CONSENT TO ASC REGISTRATION SUSPENSION