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CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER TD INVESTMENT SERVICES REP FROM SURREY, BC

CIRO alleged that Haimeng Wang, a former dealing representative with TD Investment Services Inc. from Surrey, British Columba accessed a client’s bank accounts and transferred the client’s monies to ...

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CIRO
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS AND FAILURE TO COOPERATE BY FORMER VENTUM FINANCIAL CORP REP FROM VANCOUVER, BC
April 09, 2026

CIRO alleged that Yi Cun (Harry) Liu, a former Registered Representative with Ventum Financial Corp. from Vancouver, British Colu...

OSC
OSC INVITES APPLICATIONS FROM EXPERIENCED LEADERS TO JOIN ITS NEW CAPITAL MARKETS ADVISORY COMMITTEE
April 09, 2026

The Ontario Securities Commission (OSC) is inviting applications from senior leaders to join its new Capital Markets Advisory Com...

FinCEN
TREASURY PROPOSES RULE TO IMPLEMENT THE GENIUS ACT"S REQUIREMENTS TO COUNTER ILLICIT FINANCE
April 09, 2026

The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) and the Office of Foreign Assets Control issu...

CIRO
CIRO"S 2027 ANNUAL PRIORITIES
April 08, 2026

This bulletin presents the Annual Priorities of the Canadian Investment Regulatory Organization (CIRO) for the 2027 fiscal year (...

CIRO
CIRO NOTICE OF INTENTION TO RESIGN - DESJARDINS FINANCIAL SECURITY INVESTMENTS INC.
April 08, 2026

The Canadian Investment Regulatory Organization has been informed Desjardins Financial Security Investments Inc. intends to resig...

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