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OSC INVESTOR WARNINGS AND ALERTS FOR AUGUST 11 - SEPTEMBER 1, 2026

The Ontario Securities Commission (OSC) is warning Ontario investors that the following companies are not registered to deal or advise in securities in Ontario: Trin Wealth (aka TW Pro / TW Plus), Lu...

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TMX
RETAIL COMMERCIAL PROGRAM
September 02, 2026

Montréal Exchange Inc. (“MX”) is pleased to announce the launch of its Retail Commercial Program (the “Program”). The Program is ...

SEC
SEC PROPOSES TO MODERNIZE RULES FOR REGISTERED TRANSFER AGENTS
September 02, 2026

The Securities and Exchange Commission proposed to update the rules and forms that apply to registered transfer agents. Transfer ...

SEC
SEC CHARGES SAN FRANCISCO BAY AREA PRIVATE FUND EXECUTIVES WITH MULTIMILLION DOLLAR PONZI-LIKE SCHEME
September 02, 2026

The Securities and Exchange Commission charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Gro...

CFTC
CFTC RESOLVES ACTION AGAINST SWAPS TRADER FOR MAKING FALSE STATEMENTS
September 02, 2026

The Commodity Futures Trading Commission announced the U.S. District Court for the Southern District of New York entered a consen...

Investment Executive
RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
September 02, 2026

The RCMP has filed criminal charges against a Calgary man who was previously sanctioned by the Alberta Securities Commission (ASC...

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