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CIRO ALLEGES GATEKEEPER FAILURE BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC

CIRO has scheduled a hearing pursuant to the Investment Dealer and Partially Consolidated Rules in the matter of Milan Sharma (Sharma). CIRO alleged that Sharma, a former Registered Dealing Represent...

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Investment Executive
SEC SET TO CANCEL ADVISORY FIRMS" REGISTRATIONS
April 20, 2026

A collection of firms that are taking advantage of an exemption for online advisors are facing the cancellation of their registra...

CIRO
RULE AMENDMENTS - REQUEST FOR COMMENTS - PROPOSAL TO HARMONIZE CIRO CONTINUING EDUCATION PROGRAMS - PHASE 2
April 17, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing for a 90 day comment period the second phase of proposals to...

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...

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