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CIRO MEMBER CHANGE OF CONTROL: CUMBERLAND PARTNERS LIMITED

The Canadian Investment Regulatory Organization have approved a change of control whereby Harbourfront Wealth Holdings Inc., the parent of Harbourfront Wealth Management Inc. will acquire all of the ...

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CIRO
CIRO MEMBER CHANGE OF CONTROL: LAURENTIAN BANK OF CANADA
August 31, 2026

The Canadian Investment Regulatory Organization have approved a change of control whereby Fairstone Bank of Canada will acquire a...

CIRO
ANNUAL AND SPECIAL MEETING OF CIRO MEMBERS
August 31, 2026

Notice of CIRO’s 2026 Annual and Special Meeting (Meeting) was sent to all CIRO members via mail and email on August 27, 2026. Fo...

CFTC
CFTC ORDERS GABRIEL PEREZ TO PAY $172,000 FOR INSIDER TRADING OF MENTION MARKET EVENT CONTRACTS
August 31, 2026

The Commodity Futures Trading Commission announced an order filing and settling charges against Gabriel Perez for misappropriatin...

Investment Executive
PROPOSED APPEAL ON EXPERTS FACES LEAVE RULING
August 31, 2026

Respondents in an enforcement proceeding brought by the Ontario Securities Commission (OSC) are seeking leave to appeal a ruling ...

Investment Executive
SCAMMERS USE FALSE SEC FILINGS TO DUPE INVESTORS
August 31, 2026

Dozens of firms made false regulatory filings to dupe retail investors by posing as legitimate advisory firms, the U.S. Securitie...

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