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CORPORATE INSIDER PAYS BCSC $50,000 FOR FAILING TO FILE INSIDER REPORTS

A corporate insider and significant shareholder connected to five B.C. public mining companies has paid $50,000 to the BC Securities Commission (BCSC) for failing to file timely reports of his securi...

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CFTC SEEKS PUBLIC COMMENTS ON PROPOSED ELIMINATION OF SEF ORDER BOOK REQUIREMENT FOR PERMITTED TRANSACTIONS
August 21, 2026

The Commodity Futures Trading Commission published a Notice of Proposed Rulemaking seeking public comments on proposed amendments...

Investment Executive
DESPITE BAN, RETAIL INVESTORS STILL HURT: FCA
August 21, 2026

Despite banning the sale of risky, illiquid securities such as mini-bonds and loan notes to retail investors in 2021, the U.K.’s ...

SEC
SEC CHARGES FORMER EXECUTIVES WITH FRAUD IN CONNECTION WITH $1.9 BILLION COLLAPSE OF SUBPRIME AUTO LENDER TRICOLOR
August 20, 2026

The Securities and Exchange Commission charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Dir...

FCA
FCA FINES AND BANS FORMER SVS SECURITIES CEO
August 20, 2026

The FCA has banned Demetrios Hadjigeorgiou from working in senior management positions in financial services and fined him £56,40...

Investment Executive
CANACCORD TO BUY U.K. WEALTH MANAGER WITH £3.1B IN AUM
August 20, 2026

Canaccord Genuity Group Inc. is expanding its U.K. footprint with a deal announced Wednesday to acquire EFG Harris Allday. The we...

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