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U.S. ADVISOR PLEADS GUILTY TO CHERRY PICKING

A former investment advisor admitted to defrauding his clients by “cherry picking” profitable trades for his own accounts, while allocating his losing trades to clients. In 2024, a former advisor — w...

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Investment Executive
REP THAT RAN 25-YEAR PONZI SCHEME HEADING TO JAIL
September 21, 2026

A former U.S. financial advisor is going to jail for defrauding investors in a long-running Ponzi scheme. In 2024, a former rep, ...

CSA
CSA SEEKS COMMENT ON PROPOSED AMENDMENTS TO INVESTMENT FUND REPURCHASE TRANSACTIONS REQUIREMENTS
September 18, 2026

The Canadian Securities Administrators (CSA) published for comment proposed amendments that would provide harmonized exemptions f...

OSC
OSC AND NSSMC UKRAINE PARTNER TO SHARE KNOWLEDGE ON REGULATORY ISSUES
September 18, 2026

The Ontario Securities Commission (OSC) hosted a three-part webinar series for the National Securities and Stock Market Commissio...

Montreal Exchange
AMENDMENTS TO THE RULES OF THE MONTREAL EXCHANGE REGARDING APPROVED PARTICIPANT"S ONGOING INFORMATION REQUIREMENTS
September 18, 2026

On July 31, 2025, the Self-Regulatory Oversight Committee of Montréal Exchange Inc. (the “Exchange”) approved amendments to the R...

SEC
SEC ISSUES "INNOVATION EXEMPTION" TO FACILITATE THE TRADING OF TOKENIZED NMS STOCK AND REQUEST FOR COMMENT
September 18, 2026

The Securities and Exchange Commission issued an order granting temporary, conditional exemptive relief to Tokenized Securities V...

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