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CANADIAN SECURITIES REGULATORS EXPLORE STREAMLINING REGISTRATION DELEGATION TO THE CANADIAN INVESTMENT REGULATORY ORGANIZATION

The Canadian Securities Administrators (CSA) announced its members will be considering delegating certain registration functions and powers to the Canadian Investment Regulatory Organization (CIRO). ...

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CIRO
OSC ANNOUNCES PLANS TO DELEGATE EXPANDED REGISTRATION FUNCTIONS TO CIRO
November 21, 2024

The Ontario Securities Commission (OSC) published a notice with details about its plans to delegate the registration function for...

CIRO
CIRO SANCTIONS FORMER HOLLISWEALTH ADVISORY SERVICES REP FROM LONDON, ON
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CIRO sanctioned Karen Elisabeth Puzara (Puzara), a former dealing representative with HollisWealth Advisory Services Inc. from Lo...

CIRO
CIRO SANCTIONS VALEURS MOBILIERES DESJARDINS INC. REP FROM MONTREAL, QUEBEC
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CIRO sanctioned John Viron (Viron) a dealing representative with Valeurs mobilières Desjardins inc. from Montreal, Quebec. CIRO f...

OSC
OSC SEEKS COMMENTS ON PRIORITIES FOR 2025-2026
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The Ontario Securities Commission (OSC) is seeking feedback from stakeholders on its proposed Statement of Priorities for 2025-20...

SEC
SEC CHARGES THREE SENIOR EXECUTIVES IN TWO ACTIONS ALLEGING MASSIVE BRIBERY SCHEME INVOLVING INDIAN ENERGY COMPANIES ADANI GREEN AND AZURE POWER
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The Securities and Exchange Commission charged Gautam Adani and Sagar Adani, executives of Adani Green Energy Ltd., and Cyril Cab...

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