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PRESIDENT OF FOREIGN EXCHANGE TRADING COMPANY CHARGED AFTER EMBEZZLING MILLIONS

The RCMP Federal Policing Northwest Region’s Integrated Market Enforcement Team (IMET) in Calgary charged a 41-year-old with money laundering and fraud-related offences. IMET led an investigation int...

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CFFIM
CFFIM: ACCOUNT TRANSFERS: FASTER, SMARTER, INVESTOR-FIRST
October 13, 2025

The CFFiM supports CIRO’s efforts to address persistent concerns related to inefficient and delayed account transfers between dea...

Investment Executive
THAT"S A WRAP ON FUND MANAGER"S RECEIVERSHIP
October 13, 2025

The receiver of failed fund manager Stableview Asset Management Inc. is seeking to make a final distribution to investors, and to...

Investment Executive
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
October 13, 2025

In the face of massive ongoing investment into AI, the ability of financial sector regulators to oversee the deployment of AI too...

Investment Executive
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
October 13, 2025

The Ontario Securities Commission (OSC) has clarified that it’s conducting compliance exams at five bank-owned mutual fund dealer...

CIRO
CIRO SANCTIONS FORMER SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) REP FROM VANCOUVER, BC
October 10, 2025

CIRO sanctioned Carlos (Ricardo) Gonzalez-Ticas, a former Dealing Representative with Sun Life Financial Investment Services (Can...

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