Keyword: Investment dealers

428 results found
Inspecting papers

Exam division details compliance priorities for year ahead

investor restitution challenges

Self-regulatory organization consults on proposed disgorgement distribution policy

new rules

Approval regime, proficiency are among areas covered in latest consultation

Computer keys

The group is seeking feedback on a proposed common reporting framework for cyberattacks and incidents

Investment pool

Scotia-backed firm will launch this month with 70% Indigenous ownership

Piggy banks on stacks of gold coins

Banks' restructuring, expansion efforts seen closing gap with U.S. giants

advisor client meeting

Self-regulatory organization aims to harmonize with CSA's revised requirements

Judge looks at papers

CIRO settles with firm over failure to question suspicious trading activity

Financial stock exchange market display screen board on the street

Industry's major exchanges, infrastructure capable of withstanding an operational crisis: SIFMA

man doing bicep curls

Surging debt issuance leads the way, with lending, M&A up too