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CIRO MEMBER CHANGE OF CONTROL - MIRABAUD CANADA INC.

The Canadian Investment Regulatory Organization have approved a change of control whereby Nour Private Management Inc., the sole shareholder of Goodwood Inc., will acquire all of the issued and outst...

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SEC
SEC ANNOUNCES FISCAL YEAR 2027 EXAMINATION PRIORITIES
October 26, 2026

The Securities and Exchange Commission announced the Division of Examinations’ Fiscal Year 2027 examination priorities. The annua...

FCA
FCA RESTRICTS 6 FIRMS FOLLOWING CONCERNS OVER ANTI-MONEY LAUNDERING CONTROLS
October 26, 2026

Restrictions have been placed on 6 unregulated lenders, known as Annex 1 firms, after the FCA raised concerns about their anti-mo...

FCA
FCA CALLS ON PRIVATE MARKET FIRMS TO MANAGE CONFLICTS OF INTEREST IN LINE WITH RAPID GROWTH
October 26, 2026

Private market firms vary in how well they identify and manage conflicts of interest, according to an FCA review. Private markets...

Investment Executive
FSRA INCLUDES FA TITLE MISUSE IN PROPOSAL TO REVOKE LICENCE
October 26, 2026

In a proposal to revoke the licence of an insurance agent who allegedly borrowed money from a client, the Financial Services Regu...

Investment Executive
EX-ADVISOR PLEADS GUILTY IN FREE RIDING CASE
October 26, 2026

A former U.S. advisor pleaded guilty to a fraud charge in connection with a “free riding” scheme — exploiting brokerage firms’ pr...

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