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GUIDANCE ON GUARANTEEING A TRADE PRICE FOR A CLIENT ORDER

This Guidance Note describes the applicable conditions and procedures that must be followed by a Participant that seeks to act as principal and guarantee a trade price for a client order. This includ...

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OSC
OSC INVESTOR WARNINGS AND ALERTS FOR DECEMBER 23, 2025 - JANUARY 13, 2026
January 14, 2026

The Ontario Securities Commission (OSC) is warning Ontario investors that the following companies are not registered to deal or a...

CFFIM
CFFIM: REVIEW OF OSC"S DRAFT STATEMENT OF PRIORITIES 2026-2027
January 14, 2026

CFFiM’s acknowledges with appreciation it’s priorities reflected in the OSC’s sharpened focus on competitiveness, capital formati...

PMAC
PMAC SUBMISSION ON OSC STATEMENT OF PRIORITIES FOR FISCAL YEAR 2026-2027
January 14, 2026

PMAC responded to the OSC’s Statement of Priorities for 2026-27. Our key recommendations are for the OSC to: Join the CSA passpo...

Investment Executive
SEC DROPS ACCOUNTING FRAUD CASE AGAINST MINING EXEC
January 14, 2026

The U.S. Securities and Exchange Commission (SEC) has dropped a long-running enforcement case against a former executive at minin...

Investment Executive
CI GAM TO ACQUIRE INVESCO"S CANADIAN INVESTMENT FUNDS
January 14, 2026

CI Global Asset Management (CI GAM) is acquiring Atlanta-based Invesco Ltd.’s Canadian fund business, which includes 100 mutual f...

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