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CANADIAN SECURITIES REGULATORS PUBLISH UPDATED DERIVATIVES TRADE REPORTING FAQS

The Canadian Securities Administrators (CSA) published revised guidance in CSA Staff Notice 96-307 Frequently Asked Questions about Derivatives Trade Reporting (the FAQ). The FAQ has been updated to ...

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BCSC
B.C. COMPANY AND FOUR LOWER MAINLAND PEOPLE COMMITTED PUMP-AND-DUMP SCHEME, BCSC PANEL FINDS
January 22, 2026

A BC Securities Commission (BCSC) panel has found that a Vancouver company and several people associated with it carried out a pu...

TMX
REGULATORY DIVISION POLICY PRIORITIES 2026
January 21, 2026

The Regulatory Division of Bourse de Montréal Inc. (the “Division”) is publishing its Policy Priorities for 2026. This semi-annua...

Investment Executive
ASIC REVIEW FLAGS COMPLIANCE ISSUES IN CFD SECTOR
January 21, 2026

Australian regulators’ review of the distribution practices of issuers of risky contracts for difference (CFDs) found widespread ...

Investment Executive
COURT OFFERS CHANCE TO PROVE FINANCIAL CAPABILITY
January 21, 2026

An Ontario court rejected a man’s request to put an end to a court-ordered guardianship — which was established in the wake of an...

Investment Executive
UBS SANCTIONED IN SETTLEMENT WITH TMX
January 21, 2026

In a settlement with the Bourse de Montréal’s (MX) regulatory division, UBS Securities LLC, was sanctioned for several alleged vi...

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