 Investor Alert for Stearn House Trading |
November 1, 2021 |
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Canadian securities regulators seek comment on climate-related disclosure requirements |
October 18, 2021 |
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Canadian securities regulators implement eight initiatives to reduce regulatory burden for investment funds |
October 7, 2021 |
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Report Highlights Canadian Regulators’ Key Investor Education Initiatives |
October 4, 2021 |
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Sanctions decision on Douglas G. Rudolph, Peter A.D. Mill, CFG CN Ltd., and CanGlobe International Capital Inc. amended |
October 1, 2021 |
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Canadian securities regulators outline expectations for advertising and marketing by crypto trading platforms |
September 23, 2021 |
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Sanctions decision released on Douglas G. Rudolph, Peter A.D. Mill, CFG CN Ltd., and CanGlobe International Capital Inc. |
September 22, 2021 |
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Settlement approved for Scotia Securities Inc. |
September 21, 2021 |
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Consultation Paper on Diversity in the Capital Markets |
September 15, 2021 |
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Investor Alert for JC Capital Markets |
September 14, 2021 |
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Canadian Securities Regulators Launch New Website |
September 13, 2021 |
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Investor Alert for Stanford FX |
August 30, 2021 |
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Canadian securities administrators to host roundtable on ESG-Related regulatory issues in asset management |
August 25, 2021 |
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Decision released on Wesley William Robinson and DRR900306 Ltd. |
August 24, 2021 |
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Canadian securities regulators seek comments on proposal to harmonize the interpretation of the Primary Business Requirements |
August 12, 2021 |
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Canadian securities regulators to establish new single enhanced self-regulatory organization |
August 3, 2021 |
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Canadian securities regulators propose streamlined capital raising option for Canadian-listed issuers |
July 28, 2021 |
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Canadian securities regulators publish final amendments to enhance protection of older and vulnerable clients |
July 15, 2021 |
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Canadian securities regulators issue warning about suspicious emails |
July 15, 2021 |
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Canadian securities regulators sign innovative functions co-operation agreement with the Securities and Futures Commission of Hong Kong |
July 8, 2021 |
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Canadian securities regulators release interim progress report on the CSA 2019-2022 Business Plan |
July 6, 2021 |
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Investor Alert for Oliver Briggs |
July 6, 2021 |
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Canadian securities regulators publish IIROC oversight review report |
June 25, 2021 |
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Decision released on Shirley Locke’s application for a hearing and review |
June 24, 2021 |
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Canadian securities regulators sign fintech co-operation agreement with the Financial Services Commission, Mauritius |
June 23, 2021 |
