The Securities and Investment Management Association (SIMA) has submitted a proposal to the Department of Finance Canada urging t...
CN Editor
July 23, 2026
MODERNIZATION OF REQUIREMENTS FOR ACCOUNT TRANSFERS AND BULK ACCOUNT MOVEMENTS (IDPC RULE 4800, MFD RULE 2.12 AND CIRO RULE 4800)
CSA SEEKS COMMENT ON MODERNIZING THE REGULATION OF PUBLIC COMPANIES
PE FUND MANAGER CHARGED WITH EMBEZZLEMENT
SIMA RESPONDS TO CIRO"S PROPOSED CHANGES TO CLIENT DELIVERY OBLIGATIONS
Thank you for the feedback!!
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS