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CIRO TO HOLD A DISCIPLINARY HEARING FOR FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON

CIRO alleges that Alain Georges Cogan, a former Dealing Representative with Quadrus Investment Services Ltd from Toronto, Ontario engaged in undisclosed personal financial dealings with a client thro...

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CIRO
AMENDMENTS RELATED TO FULLY PAID SECURITIES LENDING AND FINANCING ARRANGEMENTS
March 27, 2026

The Canadian Securities Administrators (CSA) have approved amendments to the Investment Dealer and Partially Consolidated (IDPC) ...

CIRO
GUIDANCE ON FULLY PAID SECURITIES LENDING
March 27, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance regarding Dealer Members’ practice of borrowing ful...

Fintrac
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON NORTHERN ISGA FOUNDATION
March 27, 2026

FINTRAC announced that it has imposed an administrative monetary penalty on Northern Isga Foundation, a non-profit charitable org...

FCA
FCA SETS OUT NEXT PHASE OF SMARTER, MORE EFFECTIVE REGULATION
March 27, 2026

The FCA has set out plans for using AI to speed up authorisations, testing new tools to identify key risks earlier, with their pe...

Investment Executive
WEALTHSIMPLE GETS REGULATORY GREEN LIGHT TO GET IN ON PREDICTION MARKETS
March 27, 2026

Wealthsimple Inc. says it’s received the regulatory green light to offer futures and forecast contracts, making it the second fir...

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