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COMARM SOLUTIONS JOB POSTING - SENIOR CONSULTANT, IFM AND PM COMPLIANCE

Comarm is looking for a Senior Consultant to assist our asset management clients (firms registered as Portfolio Managers and Investment Fund Managers) in the area of securities compliance and regulat...

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CIRO
CIRO SANCTIONS SCOTIA SECURITIES FOR COMPLAINT HANDLING FAILURES
August 17, 2026

A CIRO hearing panel accepted a settlement agreement, with sanctions, between Enforcement Staff and Scotia Securities Inc. (Scoti...

CIRO Members
CANDOR FINANCIAL GROUP INTENDS TO RESIGN FROM CIRO MEMBERSHIP
August 17, 2026

CIRO has been informed Candor Financial Group Inc. intends to resign its membership. The resignation process has been initiated ...

CIRO
CIRO TO HOLD A SANCTIONS HEARING FOR FORMER DEALING REP WITH TD SECURITIES IN SURREY, BC
August 17, 2026

A CIRO hearing panel will determine the appropriate sanctions for a former Dealing Rep with TD Securities in Surrey, BC. The hea...

SEC
SEC SANCTIONS ADVISOR FOR PLUCKING FUND’S PROFITS
August 17, 2026

An investment advisor who allegedly misappropriated profits from an investment fund that offered investors exposure to pre-IPO sh...

SEC
SEC CHARGES BOILER ROOM OPERATOR WITH DEFRAUDING RETAIL INVESTORS IN $74 MILLION PRE-IPO INVESTMENT SCAM
August 17, 2026

The Securities and Exchange Commission charged New York resident Andrew Spaventa and three entities he owned and controlled with ...

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