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LAID OFF EXEC RESOLVES SEC INSIDER TRADING CASE

A former corporate executive who was charged with insider trading based on looming negative news about his employer — including his own layoff — has resolved regulatory allegations against him. In pa...

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Investment Executive
HEDGE FUND PERFORMANCE OVERSTATED: DOJ ALLEGES
September 14, 2026

The founder of a U.S.-based social media-driven hedge fund has been charged with fraud for allegedly misrepresenting his fund’s p...

Investment Executive
FUND TARGETING EXPATS A PONZI SCHEME: SEC
September 14, 2026

An unregistered investment fund that targeted novice investors in the Ghanaian expat community in New York and New Jersey was act...

Investment Executive
CANADIAN FACES PRISON IN U.S. PUMP-AND-DUMP CASE
September 14, 2026

A Toronto man who pleaded guilty to securities fraud in connection with an alleged international stock manipulation scheme has be...

Investment Executive
SEC WRAPS CASE AGAINST EDGAR TRADER
September 14, 2026

The U.S. Securities and Exchange Commission (SEC) has resolved its enforcement action against a man who engaged in an insider tra...

CIRO
CLIENT FOCUSED REFORMS (CFR) - TARGETED COMPLIANCE GUIDANCE: PRACTICAL STEPS TO HELP DEALER MEMBERS ("DEALERS") AND APPROVED PERSONS ("APS") MEET THEIR REGULATORY OBLIGATIONS AND PROTECT INVESTORS
September 11, 2026

The Client Focused Reforms (CFRs) are principles-based requirements designed to enhance investor protection by strengthening how ...

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