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AMENDMENTS TO HARMONIZE CIRO CONTINUING EDUCATION PROGRAMS - PHASE 1

The Canadian Securities Administrators (CSA) have approved Phase 1 of the amendments to the CIRO Continuing Education (CE) requirements (Amendments). The Amendments respectively apply to each CIRO CE...

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OSC
NOTICE OF COMMISSION APPROVAL OF OSC RULE 93-501 EXEMPTION INVOLVING CERTAIN FOREIGN-ADVISED OR FOREIGN MANAGED INVESTMENT FUNDS THAT QUALIFY AS AN ELIGIBLE DERVIATIVES PARTY UNDER NI 93-101 DERIVATIVES: BUSINESS CONDUCT
January 09, 2026

The Ontario Securities Commission proposed OSC Rule 93-501 Exemption involving Certain Foreign-Advised or Foreign-Managed Investm...

SEC
SEC PROPOSES AMENDMENTS TO THE SMALL ENTITY DEFINITIONS FOR INVESTMENT COMPANIES AND INVESTMENT ADVISERS FOR PURPOSES OF THE REGULATORY FLEXIBILITY ACT
January 09, 2026

The Securities and Exchange Commission proposed amendments to the rules that define which registered investment companies, invest...

Investment Executive
COURT APPROVES CIBC TRAILER FEE SETTLEMENT
January 08, 2026

The Ontario Superior Court of Justice has approved an $11-million settlement of a class action against CIBC over the payment of t...

Investment Executive
THE BANKER, THE BROTHERS, THE FRIENDS AND THEIR FRAUDS
January 08, 2026

U.S. authorities charged three brothers, an investment banker and a couple of other friends for allegedly engaging in insider tra...

Investment Executive
EX-TD BANKER PLEADS GUILTY IN MONEY LAUNDERING CASE
January 08, 2026

A former TD Bank manager in New York has pled guilty for his role in facilitating money laundering activity at the bank. Wilfredo...

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