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CIRO FINDS FORMER REPS WITH PFSL INVESTMENTS CANADA IN MISSISSAUGA LIABLE FOR PERSONAL FINANCIAL DEALING

A CIRO hearing panel under the Mutual Fund Dealer Rules found that former reps with PFSL Investments Canada in Mississauga received monies from a client, which gave rise to a material conflict of int...

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OSC
OSC SETTLES FORMER EXECUTIVES OF MEDIVOLVE FOR MATERIAL MISSTATEMENTS
May 12, 2026

The Capital Markets Tribunal approved settlement agreements between the OSC, Stan Bharti and Neil Said. Both Mr. Bharti and Mr. S...

FSCO
FSCO: A CASE OF ALLEGED REGULATORY FAILURE
May 12, 2026

Investors can argue "bad faith" by FSCO in syndicated mortgage debacle: court. In general, regulators enjoy statutory immunity f...

CIRO
CIRO ALLEGES UNSUITABLE INVESTMENTS BY WFG SECURITIES INC REP FROM SURREY, BC
May 11, 2026

CIRO has scheduled a settlement hearing for Sanjeev Kumar Tejpal (Tejpal), a Registered Representative with WFG Securities Inc fr...

FCA
CONVICTED MONEY LAUNDERER SENTENCED TO EXTRA PRISON TIME
May 11, 2026

A convicted money launderer has been sentenced to an additional 499 days in prison for failing to fully pay the money owed under ...

OSC
NOTICE OF COMMISSION APPROVAL OF OSC RULE 13-513 EXTENSION TO ONTARIO INSTRUMENT 13-512 TEMPORARY EXEMPTION FROM THE REQUIREMENT TO TRANSMIT A REPORT OF EXEMPT DISTRIBUTION THROUGH SEDAR+
May 08, 2026

On February 25, 2026, the Ontario Securities Commission (the OSC) made as a rule under the Securities Act (Ontario) (the Act) loc...

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