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CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS REP FROM OTTAWA, ON

CIRO has scheduled a disciplinary hearing for Angie Sau Chu Lau (Lau), a former Registered Dealing Representative with Desjardins Financial Security Investments Inc. from Ottawa, Ontario. CIRO alleg...

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Investment Executive
SEC BANS TRADER FOR SPOOFING ADRS
November 12, 2026

U.S. regulators banned a trader from the investment business after he admitted to manipulating the prices of thinly-traded securi...

Investment Executive
COURT GRANTS OSC APPEAL IN FRAUD CASE
November 12, 2026

Ontario’s Capital Markets Tribunal erred when it dismissed a fraud allegation against a securities lawyer earlier this year, an O...

Investment Executive
CIRO TO PAY $8.3M TO RESOLVE DATA BREACH CLASS ACTION
November 12, 2026

To resolve a class action arising from its August 2025 data breach, the Canadian Investment Regulatory Organization (CIRO) will p...

CIRO
INVESTOR ALERT: FRAUDULENT WEBSITES IMPERSONATING CEDAR LEAF CAPITAL INC.
November 11, 2026

The Canadian Investment Regulatory Organization (CIRO) is warning investors about fraudulent websites impersonating Cedar Leaf Ca...

OSC
OSC PUBLISHES THE FIRST ARTICLE IN ITS Q-BITS SERIES ALONGSIDE A TECHNICAL REPORT ON QUANTUM COMPUTING RISKS AND OPPORTUNITIES TO HELP MARKET PARTICIPANTS PREPARE FOR THE QUANTUM FUTURE
November 11, 2026

The Ontario Securities Commission (OSC) published the first article in its OSC Q-Bits series, alongside a technical report examin...

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