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CIRO ALLEGES MISAPPROPRIATION BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON

CIRO has scheduled a disciplinary hearing for Michael Jordan MacDonnell (MacDonnell), a former Registered Dealing Representative with Quadrus Investment Services Inc. from Toronto, Ontario. CIRO alle...

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OSC
OSC INVESTOR WARNINGS AND ALERTS FOR MAY 19 - JUNE 9, 2026
June 10, 2026

The Ontario Securities Commission (OSC) is warning Ontario investors that the following companies are not registered to deal or a...

CFFIM
CFFIM: FROM EXEMPTION TO EXPANSION: INSIDER REPORTING AND SINGLE-ISSUER ETFS
June 10, 2026

Canadian securities regulators are proposing to ‘clarify’ reporting requirements for single-issuer ETFs, American Depositary Rece...

Investment Executive
ADVISORS FALLING SHORT ON CONFLICTS: SEC
June 10, 2026

In the U.S., registered investment advisors have fiduciary obligations to their clients, yet compliance reviews by the U.S. Secur...

Investment Executive
FCA TAKES ACTION AGAINST FUND MANAGER
June 10, 2026

The U.K.’s Financial Conduct Authority (FCA) is seeking an injunction against former fund manager Neil Woodford — who it sanction...

CIRO
2026 CYBERSECURITY TABLE-TOP EXERCISE - SAVE THE DATE
June 09, 2026

CIRO will host the 2026 cybersecurity table-top exercise for members on September 30 (in Toronto) and October 7 (in Calgary). The...

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