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CIRO SANCTIONS FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS INC. REP FROM TORONTO, ON

CIRO sanctioned Neilay Modi (Modi), a former dealing representative with Desjardins Financial Security Investments Inc. from Toronto, Ontario. CIRO found that Modi failed to cooperate with an investi...

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CIRO
JOINT CANADIAN SECURITIES ADMINISTRATORS AND CANADIAN INVESTMENT REGULATORY ORGANIZATION STAFF NOTICE 91-307 GUIDANCE RELATED TO EVENT CONTRACTS: COMPLIANCE WITH REGULATORY REQUIREMENTS
August 28, 2026

Staff of the Canadian Securities Administrators (the CSA) and staff of the Canadian Investment Regulatory Organization (CIRO) (to...

CIRO
CIRO ALLEGES MISAPPROPRIATION BY QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
August 28, 2026

CIRO has scheduled a disciplinary hearing for Michael Jordan MacDonnell (MacDonnell), a former Registered Dealing Representative ...

CCFiM
BCSC FEE INCREASE - FINANCIAL CASE NOT MADE
August 27, 2026

The Proposed Amendments include a net increase in the BCSC’s annual fee-based revenue, which is intended to return the BCSC to a ...

Investment Executive
FREE RIDING TRADER SETTLES WITH SEC
August 27, 2026

A trader who exploited brokerage firms that provided instant credit to new clients is being sanctioned in a settlement with the U...

Investment Executive
AI STARTUP MISLED INVESTORS: SEC
August 27, 2026

An AI startup and its former CEO have settled allegations that they misled investors when raising capital through a series of cro...

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