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Keyword: Registration

260 results found
Dividing groups

OSC to delegate registration to CIRO, rest of CSA considering it too

new label

Firm to help build infrastructure for new exam-based approach to reps' education

Business lawyer team. Working together of lawyer in the meeting.

Panel dismisses call for stronger deterrence given risks posed by crypto, social media

Client listening to a lawyer or advisor explaining issues

Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Venture that led to conviction also violated securities rules, regulator says

penalty card

Man banned four years, pays $135,000 in settlement with regulator

bitcoin investment concept on screen

European regulators press for external audit requirements in new crypto rules

calendar court

CIRO must get on with the enforcement proceeding, if that's what it intends to do

Judge looks at papers

Sanctions seek deterrence, level playing field for compliant crypto firms

Judge looks at papers

Unregistered investment funds are allegedly costing investors millions