The Division is proposing changes to the Rules to incorporate a requirement for Participants to disclose changes to certain infor...
CN Editor
August 12, 2025
FCA SETS OUT CHANGES TO PAYMENT SAFEGUARDING RULES
NASAA SEEKS PUBLIC COMMENT ON PROPOSED NASAA MODEL FRANCHISE BROKER REGISTRATION ACT
NASAA SEEKS PUBLIC COMMENT ON PROPOSED AMENDMENTS TO INVESTMENT ADVISER ADVERTISING RULES
CIRO ISSUES WHITE PAPER AND PUBLISHES RULE AMENDMENT PROPOSALS TO IMPROVE ACCOUNT TRANSFERS
Thank you for the feedback!!
OSC AND CIRO REPORT HIGHLIGHTS SALES CULTURE CONCERNS AT CANADA"S LARGEST BANK-AFFILIATED DEALERS
STEPHANE GAGNON SENTENCED TO FIVE YEARS AND ORDERED TO PAY OVER $7.75 MILLION
INVESTOR MISSES INVESTMENT OPPORTUNITY DUE TO FIRM"S MISCOMMUNICATION
CIRO PROFICIENCY MODEL FOR APPROVED PERSONS UNDER THE INVESTMENT DEALER AND PARTIALLY CONSOLIDATED RULES - EXAM FEES