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FORMER BROKER CHARGED IN "FREE RIDER" CASE

A former U.S. advisor, who was previously sanctioned by regulators, is facing charges of defrauding brokerage firms by engaging in “free riding” to exploit the credit offered by firms to enable immed...

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Investment Executive
TRIO PLEADS GUILTY IN US$500-MILLION SCHEME
March 05, 2026

Three men pleaded guilty to various charges for their role in a US$500-million investment fraud scheme that sold investors on the...

CIRO
NEW WEBCAST: PANEL AUDITORS ANNUAL CONFERENCE - NOVEMBER 2025
March 04, 2026

CIRO Investment Dealers may only use an approved panel auditor for the audit of their books and records. The partner responsible ...

Fraud prevention
CANADIAN SECURITIES REGULATORS RELEASE UPDATED NUMBERS ON DISARMING MORE THAN 7,500 FRAUDULENT INVESTMENT WEBSITES
March 04, 2026

In recognition of Fraud Prevention Month, the Canadian Securities Administrators (CSA) released updated results from its effort t...

FCA
OPBAS IDENTIFIES AREAS WHERE ANTI-MONEY LAUNDERING SUPERVISORS CAN IMPROVE
March 04, 2026

The latest report from the Office for Professional Body Anti-Money Laundering Supervision (OPBAS) finds there is still room for i...

Investment Executive
FUND COSTS DECLINING, THANKS TO NEW LAUNCHES: ESMA
March 04, 2026

Retail investment fund costs are declining, according to research from the European Securities and Markets Authority (ESMA), whic...

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