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CLIENT FOCUSED REFORMS (CFR) - TARGETED COMPLIANCE GUIDANCE: PRACTICAL STEPS TO HELP DEALER MEMBERS ("DEALERS") AND APPROVED PERSONS ("APS") MEET THEIR REGULATORY OBLIGATIONS AND PROTECT INVESTORS

The Client Focused Reforms (CFRs) are principles-based requirements designed to enhance investor protection by strengthening how registrants understand their clients and make suitable investment deci...

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CIRO
NEW WEBCAST: CLIENT FOCUSED REFORMS (CFRS): TARGETED COMPLIANCE GUIDANCE FOR CIRO DEALER MEMBERS
September 11, 2026

The Client Focused Reforms (CFRs) were introduced in 2021 to enhance investor protection by helping Dealer Members and Approved P...

SEC
SEC CHARGES FOUNDER AND HIS TWO NEW JERSEY-BASED COMPANIES IN ALLEGED $16 MILLION PONZI SCHEME
September 11, 2026

The Securities and Exchange Commission charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinen...

Investment Executive
FAKE TAKEOVER BID TARGETED CALGARY COMPANY
September 11, 2026

A London, U.K. man who launched a fake takeover bid for a Canadian issuer has pleaded guilty to fraud and forgery in a London cou...

CFTC
CFTC SECURES COURT ORDERS DIRECTING TEXAS AND FLORIDA RESIDENTS TO PAY OVER $500,000 IN DISGORGEMENT AND CIVIL MONETARY PENALTIES AND IMPOSING TRADING BANS FOR COMMODITY POOL FRAUD
September 10, 2026

The Commodity Futures Trading Commission announced the U.S. District Court for the Southern District of Florida entered consent o...

Investment Executive
ESMA AIMS TO EASE ISSUERS" BURDEN
September 10, 2026

Amid efforts to cut compliance costs and reduce regulatory burdens for issuers, the European Securities and Markets Authority (ES...

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