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SEC BANS RETIRING REP PONZI SCHEMER

A former advisor who was convicted in a Ponzi scheme that centered around the acquisition of retiring brokers’ books has now also been banned by the U.S. Securities and Exchange Commission (SEC). The...

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Investment Executive
CRYPTO WASH TRADER AVOIDS JAIL
August 07, 2026

A Canadian man who pleaded guilty to criminal charges in the U.S. for his role in running a crypto firm that provided wash tradin...

CIRO
CIRO SANCTIONS FORMER BMO INVESTMENTS INC. REP FROM TORONTO, ON
August 06, 2026

CIRO sanctioned Tanziba Tahsin (Tahsin), a former Dealing Representative with BMO Investments Inc. from Toronto, Ontario. CIRO fo...

CIRO
CIRO ALLEGES OFF-BOOK TRANSACTIONS BY RESEARCH CAPITAL CORP. REP FROM CALGARY, AB
August 06, 2026

CIRO has scheduled a disciplinary hearing for Tumer Salih Bahcheli (Bahcheli), a dealing representative with Research Capital Cor...

SEC
SEC ESTABLISHES FINANCIAL REPORTING AND ACCOUNTING UNIT IN ENFORCEMENT DIVISION
August 06, 2026

The Securities and Exchange Commission announced it is establishing a new specialized unit within the Division of Enforcement to ...

FCA
FCA SIMPLIFIES IPO RULES TO SUPPORT UK LISTINGS
August 06, 2026

Companies will benefit from easier initial public offering (IPO) listings thanks to changes to the rules from the FCA. This will ...

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