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OSC INVESTOR WARNINGS AND ALERTS FOR FEBRUARY 24 - MARCH 17, 2026

The Ontario Securities Commission (OSC) is warning Ontario investors that the following companies are not registered to deal or advise in securities in Ontario: FINAD-AI, Prime Wealth, dexfinexpro (n...

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SEC
SEC PUBLISHES DATA ON PUBLIC AND PRIVATE OFFERINGS, MUNICIPAL ADVISORS, TRANSFER AGENTS, AND SECURITIES-BASED SWAP DEALERS
March 18, 2026

The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based s...

IOSCO
IOSCO PUBLISHES UPDATED STATEMENT ON NON-GAAP FINANCIAL MEASURES
March 18, 2026

The International Organization of Securities Commissions (IOSCO) published an updated Statement on Non-GAAP (Generally Accepted A...

Investment Executive
FCA CONSULTS ON CONSUMER REDRESS REFORMS
March 18, 2026

In an effort to enhance the transparency and predictability of its dispute resolution system, regulators in the U.K. are consulti...

Investment Executive
OBSI"S BINDING AUTHORITY IS BEING BURIED ALIVE
March 18, 2026

Canada has a deeply ingrained habit: when investor harm demands a regulatory response, the system produces process instead of rem...

CIRO
GUIDANCE ON "LOCKED" AND "CROSSED" MARKETS
March 17, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance regarding questions related to “locked” and “crosse...

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