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The securities regulatory authorities in Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Québec and Saskatchewan (“participating jurisdictions”) announced on October ... Continued
On October 9, 2014, the Securities and Exchange Commission (the “SEC”) published a Risk Alert and FAQs to remind broker-dealers of their obligations when they ... Continued
On September 11, 2014, the Canadian Securities Administrators (CSA) announced that they intend to publish for comment a new harmonized regulatory proposal to Multilateral Instrument ... Continued