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ONTARIO SECURITIES COMMISSION ISSUES 2026 RISK ASSESSMENT QUESTIONNAIRE

The Ontario Securities Commission (OSC) issued the 2026 Risk Assessment Questionnaire (RAQ). The OSC uses a risk-based approach to oversee its registrants and inform its examination planning activiti...

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BCSC
B.C. MAN PLEADS GUILTY TO BREACHING BCSC ORDER
May 07, 2026

A B.C. resident has pleaded guilty to one count of breaching an order of the BC Securities Commission (BCSC). Marcel Anil Rada, 6...

Fintrac
CHANGES TO THE ADMINISTRATIVE MONETARY PENALTIES FRAMEWORK
May 07, 2026

The Strengthening Canada’s Immigration System and Borders Act introduces several enhancements to FINTRAC’s enforcement tools. The...

CFTC
CFTC ORDERS NEW YORK TRADER TO PAY $200,000 FOR SPOOFING
May 07, 2026

The Commodity Futures Trading Commission announced an order filing and settling charges against Sidney Lebental, a dual French an...

Investment Executive
MAN CHARGED IN STOCK-LENDING SCHEME
May 07, 2026

A stock-lending scheme allegedly duped an investor out of hundreds of millions of dollars worth of corporate shares, U.S. authori...

Investment Executive
COURT UPHOLDS NG BANKRUPTCY CONDITION
May 07, 2026

The Ontario appeal court has rejected an effort by former industry executive Gary Ng to have a court-ordered condition for exitin...

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