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CSA PROPOSES AMENDMENTS TO IMPLEMENT AN ACCESS MODEL FOR CONTINUOUS DISCLOSURE DOCUMENTS OF NON-INVESTMENT FUNDS

The Canadian Securities Administrators (CSA) is seeking feedback on proposed amendments and changes to implement an access model for certain disclosure documents of non-investment fund reporting issu...

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SEC
SEC CHARGES CEO WITH MISAPPROPRIATION OF $2.2 MILLION AND $6 MILLION OF ILLEGAL STOCK SALES
November 20, 2024

The Securities and Exchange Commission announced today it filed charges against Frank Igwealor of Playa del Rey, California, the ...

CIRO
LEDUC INTERNATIONAL FINANCIAL SERVICES INTENDS TO RESIGN ITS CIRO MEMBERSHIP
November 19, 2024

The Canadian Investment Regulatory Organization has been informed that Leduc International Financial Services Inc. intends to res...

Fintrac
FATF ANNOUNCES THAT SENEGAL IS NO LONGER SUBJECT TO INCREASED MONITORING
November 19, 2024

Fintrac announced that the FATF has determined that Senegal has made significant progress in addressing the strategic deficiencie...

Investment Executive
COURT RULES BCSC PANEL’S PROCESS WAS UNFAIR
November 19, 2024

A regulatory hearing panel mishandled allegations of abuse of process from the target of an insider trading investigation, a Brit...

SEC
SEC CHARGES BIT MINING WITH FCPA VIOLATIONS IN CONNECTION WITH BRIBERY SCHEME TO INFLUENCE MEMBERS OF JAPANESE PARLIAMENT
November 19, 2024

The Securities and Exchange Commission today announced that BIT Mining Ltd., formerly known as 500.com Limited, agreed to pay a $...

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