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CIRO MEMBER NAME CHANGE: FIRST NATIONS FINANCIAL MARKETS LIMITED PARTNERSHIP

The Canadian Investment Regulatory Organization has been informed that First Nations Financial Markets Limited Partnership has changed its name to: AFN Limited Partnership. The change is effective Ma...

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BCSC
B.C. MAN BANNED FROM MARKET FOR 11 YEARS FOR UNREGISTERED TRADING AND ADVISING
July 15, 2026

A B.C. resident has paid $46,732 to the BC Securities Commission (BCSC) after agreeing that he was in the business of trading and...

FCA
STREAMLINED RULEBOOK TO SAVE ASSET MANAGERS £128M A YEAR
July 15, 2026

The FCA has proposed a package of reforms that would tailor requirements proportionately for asset managers, cut costs for firms ...

CIRO
CIRO ALLEGES GATEKEEPER FAILURES BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC
July 14, 2026

CIRO has scheduled a disciplinary hearing for Milan Sharma (Sharma), a former Registered Representative with BMO Nesbitt Burns In...

Investment Executive
SEC WRAPS CASE AGAINST CANADIAN IN TRADING SCHEME
July 14, 2026

A Canadian who was accused of facilitating an illicit offshore trading scheme involving microcap companies has settled with the U...

Investment Executive
SEC SANCTIONS INSIDER TRADING
July 14, 2026

A former executive at an investor relations firm and a couple of his friends who traded on advance knowledge of pending corporate...

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