Updates to the Guidance Note are being made as part of the UMIR Guidance Update Project. This project is to make non-material cha...
CN Editor
November 06, 2025
FCA CONFIRMS FINAL GUIDANCE TO TACKLE SERIOUS NON-FINANCIAL MISCONDUCT IN FINANCIAL SERVICES
CANADIAN SECURITIES REGULATORS" NEW CAPABILITY DISARMS MORE THAN 3,900 FRAUDULENT INVESTMENT WEBSITES
CSA AND CIRO PROVIDE GUIDANCE FOR FINFLUENCERS AND FIRMS ON HOW TO WORK WITH THEM AND PROTECT INVESTORS
CSA AND CIRO PROVIDE FINDINGS AND GUIDANCE FROM LATEST PHASE OF CLIENT FOCUSED REFORMS REVIEWS
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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING