The Canadian Investment Regulatory Organization (CIRO) is publishing for a 90 day comment period the second phase of proposals to...
CN Editor
April 17, 2026
SEC SEEKS PUBLIC COMMENT ON THE CONSOLIDATED AUDIT TRAIL AND OTHER AUDIT TRAILS AND DATA SOURCES
CIRO SANCTIONS FORMER ROYAL MUTUAL FUNDS REP FROM VAUGHAN, ON
CIRO ALLEGES WRONGDOING BY FORMER RR WITH SCOTIA SECURITIES IN VICTORIA, BC
CSA PUBLISHES PROPOSED AMENDMENTS TO INSIDER REPORTING REQUIREMENTS FOR COMMENT
Thank you for the feedback!!
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS