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CIRO SANCTIONS FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS REP FROM TORONTO, ON

CIRO sanctioned Neilay Modi (Modi), a former dealing representative with Desjardins Financial Security Investments Inc. from Toronto, Ontario. CIRO found that Modi failed to cooperate with an investi...

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CIRO
JOINT CANADIAN SECURITIES ADMINISTRATORS AND CANADIAN INVESTMENT REGULATORY ORGANIZATION STAFF NOTICE 91-307 GUIDANCE RELATED TO EVENT CONTRACTS: COMPLIANCE WITH REGULATORY REQUIREMENTS
August 28, 2026

Staff of the Canadian Securities Administrators (the CSA) and staff of the Canadian Investment Regulatory Organization (CIRO) (to...

CIRO
CIRO ALLEGES MISAPPROPRIATION BY QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
August 28, 2026

CIRO has scheduled a disciplinary hearing for Michael Jordan MacDonnell (MacDonnell), a former Registered Dealing Representative ...

Investment Executive
KKR SETTLES DOJ ANTI-TRUST COMPLIANCE CASE
August 28, 2026

Private equity giant KKR & Co. GP LLC is paying a US$250-million penalty to resolve allegations that it repeatedly failed to comp...

Investment Executive
YOUNG INVESTORS WELCOME AI ADVICE
August 28, 2026

Young investors are more likely to take investing advice from AI than they are to trust the mainstream media or finfluencers, acc...

Investment Executive
TOP COURT DECLINES TO HEAR APPEAL IN OSC CASE
August 28, 2026

The Supreme Court of Canada will not be hearing an appeal to consider the standard for securities regulators to obtain a receiver...

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