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CIRO ALLEGES WRONGDOING BY FORMER DEALING REPRESENTATIVE WITH SCOTIA SECURITIES IN OTTAWA

CIRO has scheduled a hearing pursuant to the Mutual Fund Dealer Rules in the matter of Mazhar Hussain Malik, a former dealing representative with Scotia Securities in Ottawa. The hearing concerns al...

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CSA
CSA INVITES STAKEHOLDERS TO JOIN ITS TOKENIZATION WORKSHOP IN TORONTO
May 21, 2026

The Canadian Securities Administrators (CSA) invites interested stakeholders to join the livestream for its upcoming Toronto toke...

FINRA
FINRA SANCTIONS FIRMS FOR PENNY STOCK OVERSIGHT
May 21, 2026

Montreal-based broker-dealer, Pictet Overseas Inc., and an alternative trading system based in Florida, Blue Ocean ATS, are being...

FCA
FCA AND BANK OF ENGLAND SET OUT SHARED VISION FOR TOKENISATION IN UK WHOLESALE MARKETS
May 21, 2026

Tokenisation is the process of creating a digital representation of a real-world asset – such as a share, bond or unit of currenc...

CIRO
CIRO SANCTIONS FORMER REP WITH SUN LIFE FINANCIAL INVESTMENT SERVICES IN ST. JOHN, NB
May 18, 2026

A CIRO a hearing panel held a hearing pursuant to the Mutual Fund Dealer Rules and accepted a settlement agreement, with sanction...

CSA
CSA PUBLISHES PROPOSED CHANGES TO ENHANCE ISSUER BID, TAKE-OVER BID, AND BENEFICIAL OWNERSHIP REPORTING REGIMES
May 18, 2026

The CSA published a Notice and Request for Comment related to proposed amendments and changes to enhance the Canadian issuer bid,...

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