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FINTRAC STATEMENT - FINANCIAL ACTION TASK FORCE (FATF) EVALUATION

FINTRAC issued the following statement in response to the publication of FATF’s Evaluation of Canada’s Anti-Money Laundering and Anti-Terrorist Financing Regime: FINTRAC welcomes the Financial Action...

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OBSI
CHANGES TO OBSI"S FEE CALCULATION METHODOLOGY FOR CIRO FIRMS
September 30, 2026

OBSI is changing the methodology used to allocate fees for CIRO regulated firms. The changes are intended to improve administrati...

FINRA
FINRA BARS BROKER FOR MISAPPROPRIATING $1.7 MILLION FROM CUSTOMERS" ACCOUNTS
September 30, 2026

FINRA has barred Rudy Anguiano of Chino Hills, CA, a former registered representative of LPL Financial LLC, from associating with...

SEC
SEC CHARGES MULTIPLE ENTITIES IN FRAUD SCHEMES TOTALING AT LEAST $15 MILLION THAT USED WHATSAPP AND OTHER PLATFORMS TO LURE INVESTORS
September 30, 2026

The Securities and Exchange Commission charged multiple entities that are likely operated by individuals located overseas for def...

Investment Executive
ADDING ALT OFFERINGS HAS RISKS FOR FUND MANAGERS
September 30, 2026

As traditional North American asset managers turn to alternative investments to diversify their businesses and drive growth, the ...

SEC
SEC CHARGES REGISTERED INVESTMENT ADVISER ZOE FINANCIAL FOR FAILURE TO DISCLOSE CONFLICT OF INTEREST
September 29, 2026

The Securities and Exchange Commission announced settled charges against New York-based investment adviser Zoe Financial Inc. for...

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