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RULE AMENDMENTS - REQUEST FOR COMMENTS - PROPOSAL TO HARMONIZE CIRO CONTINUING EDUCATION PROGRAMS - PHASE 2

The Canadian Investment Regulatory Organization (CIRO) is publishing for a 90 day comment period the second phase of proposals to finalize harmonization of continuing education (CE) program requireme...

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CIRO
CIRO SANCTIONS FORMER ROYAL MUTUAL FUNDS REP FROM VAUGHAN, ON
April 17, 2026

CIRO sanctioned Calogero (Charlie) Alaimo (Alaimo), a former dealing representative with Royal Mutual Funds Inc. from Vaughan, On...

CSA
INVESTOR ALERT: RAMP-AND-DUMP SCAMS SURGE AS FRAUDULENT "INVESTMENT GROUPS" TARGET UNSUSPECTING INVESTORS
April 17, 2026

The Canadian Securities Administrators (CSA) is warning Canadians about fraudulent investment groups being promoted on social med...

Fintrac
FINTRAC IMPLEMENTATION OF LEGISLATIVE AMENDMENTS
April 17, 2026

New initiatives and updates that FINTRAC is implementing, which impact reporting entities (businesses and individuals) are detail...

SEC
SEC SEEKS PUBLIC COMMENT ON THE CONSOLIDATED AUDIT TRAIL AND OTHER AUDIT TRAILS AND DATA SOURCES
April 17, 2026

The Securities and Exchange Commission issued a concept release soliciting public comment in support of a comprehensive review of...

FCA
FCA INTRODUCES CLEARER AND SIMPLER SHORT SELLING RULES
April 17, 2026

The FCA has finalised a simpler UK short selling regime that reduces reporting burdens for firms, while maintaining regulatory ov...

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