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CIRO SANCTIONS VENTUM FINANCIAL CORP. REP FROM VANCOUVER, BC

CIRO sanctioned Randy Bryan Hildebrandt (Hildebrandt), a Registered Representative with PI Financial Corp., now Ventum Financial Corp from Vancouver, British Columbia. CIRO found that Hildebrandt fai...

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CIRO
CIRO MEMBER CHANGE OF CONTROL: CORMARK SECURITIES INC.
December 16, 2025

The Canadian Investment Regulatory Organization have approved a change of control whereby ATB Financial has acquired 10% or more ...

Investment Executive
FINTECH EXECS ALLEGEDLY DUPED PRIVATE EQUITY FIRM
December 16, 2025

A U.S. private equity firm was allegedly defrauded out of US$20 million by a fintech company that misrepresented its technology a...

BCSC
VANCOUVER RESIDENT DIDN"T COMPLY WITH RECORDS DEMAND AND OBSTRUCTED JUSTICE, BCSC PANEL SAYS
December 15, 2025

A panel of the BC Securities Commission (BCSC) has found that a Vancouver resident failed to comply with a demand to produce reco...

FCA
FCA FINES NATIONWIDE £44M FOR FAILINGS IN FINANCIAL CRIME CONTROLS
December 15, 2025

The FCA has fined Nationwide Building Society £44m for inadequate anti-financial crime systems and controls between October 2016 ...

FCA
FCA CONFIRMS FINAL GUIDANCE TO TACKLE SERIOUS NON-FINANCIAL MISCONDUCT IN FINANCIAL SERVICES
December 15, 2025

In July, the FCA changed their rules – setting clearer standards for how financial services firms should address non-financial mi...

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