search

CIRO SANCTIONS FORMER REP WITH SUN LIFE FINANCIAL INVESTMENT SERVICES IN ST. JOHN, NB

A CIRO a hearing panel held a hearing pursuant to the Mutual Fund Dealer Rules and accepted a settlement agreement, with sanctions, between Enforcement Staff and Sholeh Sharifian. Sholeh Sharifian a...

Continue reading...

CSA
CSA PUBLISHES PROPOSED CHANGES TO ENHANCE ISSUER BID, TAKE-OVER BID, AND BENEFICIAL OWNERSHIP REPORTING REGIMES
May 18, 2026

The CSA published a Notice and Request for Comment related to proposed amendments and changes to enhance the Canadian issuer bid,...

OSC
OSC: REGISTRATION, INSPECTIONS AND EXAMINATIONS DIVISION SETS OUT ITS 2026-2027 EXAMINATION PRIORITIES
May 18, 2026

The OSC"s Registration, Inspections and Examinations Division published its 2026-27 Examination Priorities (the 2026 Examination ...

Fintrac
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON AN EDMONTON MSB
May 18, 2026

FINTRAC announced that it has imposed an administrative monetary penalty on 13010431 Canada Inc., also operating as Necosmart. Fo...

SEC
SEC SETTLES WITH WOODBRIDGE PONZI REPS
May 18, 2026

Three former sales reps for a massive Ponzi scheme that raised over US$1.2 billion from investors have now been banned for just a...

SEC
PRIVATE FUND MANAGER SANCTIONED BY SEC FOR ALLEGED PONZI SCHEME
May 18, 2026

A U.S. fund manager agreed to pay US$1.59 million in a settlement with the U.S. Securities and Exchange Commission (SEC) for viol...

More from the news archive ⇨