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Keyword: Trade execution

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IIROC urges investment dealers to start prepping for rule changes now

Communication network concept. Multiple exposure.

Proposed exemption would allow non-accredited investors to self-certify their sophistication

Securities and Exchange trending up

The reforms aim to enhance transparency in the end-of-day session

Businessman working on Desk office business

Decision has implications for the Canadian Securities Administrators

scales of justice

The bank must also pay costs of $25,000

  • By: Staff
  • April 24, 2020 April 24, 2020
  • 14:25
Close up business man signing contract making a deal, classic business

The transaction isn’t expected to have a significant impact on BMO’s balance sheet


Clearpool Group Inc. has more than 100 clients, most of whom are U.S. broker dealers

  • By: Staff
  • January 22, 2020 January 22, 2020
  • 10:50
Analyst is drawing a financial calculations and predictions on the glass screen. Graphs, charts and arrows everywhere. A concept of forex market.

Spending on market and alternative data will only go up, a Greenwich survey finds

Securities trending down

Companies seeking private capital can now connect to investment dealers through the service

gavel on a wooden bench

The non-compliant procedure resulted in no client harm

  • By: Staff
  • October 18, 2019 October 18, 2019
  • 16:43