The BC Securities Commission (BCSC) has joined regulators around the globe in a second coordinated initiative to target unlawful ...
CN Editor
April 29, 2026
FCA SPEARHEADS GLOBAL ACTION TO STOP ILLEGAL FINFLUENCERS
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
CIRO SANCTIONS PFSL INVESTMENTS CANADA LTD. FOR SUPERVISORY FAILURES
CIRO ALLEGES GATEKEEPER FAILURE BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC
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