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CIRO ALLEGES DISCRETIONARY TRADING BY FORMER CIBC WORLD MARKETS REP FROM TORONTO, ON

CIRO has scheduled a hearing for Graeme Hamilton (Hamilton), a former Registered Representative with CIBC World Markets Inc. from Toronto, Ontario. CIRO alleges Hamilton engaged in discretionary trad...

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CIRO
CIRO ALLEGES ORDER DESIGNATION FAILURES BY GOLDMAN SACHS CANADA INC.
October 22, 2026

CIRO has scheduled a hearing for Goldman Sachs Canada Inc. (Goldman Sachs). CIRO alleges that Goldman Sachs failed to include pro...

SIMA
SIMA URGES GREATER FINANCING FLEXIBILITY FOR CANADIAN PUBLIC COMPANIES
October 22, 2026

The Securities and Investment Management Association (SIMA) is encouraging Canada’s securities regulators to make the listed issu...

SIMA
SIMA SUPPORTS ACCOUNT TRANSFER MODERNIZATION, URGES TECHNOLOGY-READY IMPLEMENTATION
October 22, 2026

The Securities and Investment Management Association (SIMA) applauds the Canadian Investment Regulatory Organization’s (CIRO) pro...

CFTC
CFTC SECURES COURT ORDER DIRECTING LOUISIANA MAN AND HIS COMPANIES TO PAY OVER $9 MILLION IN FOREX FRAUD
October 22, 2026

The Commodity Futures Trading Commission announced the U.S. District Court for the Eastern District of Louisiana entered a defaul...

FCA
FORMER CHIEF EXECUTIVE BANNED AFTER MISCONDUCT LED TO £4M LOSSES IN HIGH-RISK INVESTMENTS
October 22, 2026

The FCA has banned Jeffrey Dawkins, the former chief executive of Vector Wealth Ltd, after he dishonestly acted as a front for a ...

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