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PIX / A PATCHWORK OF BAY AREA PARTIES & PERSONALITIES
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Executive chef David Lawrence and his wife, Monetta White, owners of on Fillmore,...
9th Annual Focus Event on Registrant Regulation Conduct & Compliance...
www.canadianunderwriter.ca
Sophie Jean, Director, Supervision of Intermediaries, AMF • Lynn Tsutsumi, Director, Market Regulation, Alberta Securities Commission • Mark Wang, Manager ...
ASC releases results of exempt market dealer sweep - CNW
www.newswire.ca
Detailed results of the sweep can be found in ASC Notice Exempt Market Dealer Sweep. "The Notice is intended to provide guidance to assist firms in complying with their regulatory obligations and includes both suggested practices and unacceptable practices," said Lynn Tsutsumi, Director, Market ...
Alberta EMDs failing to meet regulatory obligations - Article ...
www.investmentexecutive.com
"The notice is intended to provide guidance to assist firms in complying with their regulatory obligations and includes both suggested practices and unacceptable practices," says Lynn Tsutsumi, director of market regulation with the ASC, in a statement. "We strongly encourage registrants to use the notice as ...
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