The new exam-based proficiency regime for investment dealer personnel will begin on Jan. 1, and FP Canada stands at the ready to ...
CN Editor
October 17, 2025
U.S. BANK REGULATORS DROP CLIMATE RISK GUIDANCE
OSC SEEKS TO ENFORCE D&O SANCTIONS
BCSC NOTICE AND REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO BC INSTRUMENT 22-502 REGISTRATION BY THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
REPUBLICATION OF PROPOSED AMENDMENTS - FULLY PAID LENDING AND FINANCING ARRANGEMENTS
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS