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U.S. ADVISOR GETS JAIL FOR DEFRAUDING CLIENTS

A U.S. financial advisor is getting six years in prison for misappropriating more than $1 million from clients. In a federal court in New York, former advisor Jeffrey Slothower was sentenced to 72 mo...

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Investment Executive
FCAC FINES BMO $4M FOR OVERCHARGING FEES
February 03, 2026

The Financial Consumer Agency of Canada (FCAC) has fined Bank of Montreal (BMO) $4 million for violating consumer provisions in t...

Investment Executive
FCA CONSULTS ON NEW CLIMATE DISCLOSURE RULES
February 03, 2026

While global regulators’ efforts to beef up climate disclosure rules have seemingly stalled amid growing U.S. opposition, the U.K...

CIRO
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON
February 02, 2026

CIRO sanctioned Wei (Wendy) Seto (Seto), a former Registered Representative with RBC Dominion Securities Inc. from Toronto, Ontar...

CIRO
LIST OF ENTITIES CONSIDERED SUITABLE TO HOLD LBMA GOLD AND SILVER GOOD DELIVERY BARS
February 02, 2026

This list is published to identify entities considered suitable to hold London Bullion Market Association (LBMA) gold and silver ...

TMX
AMENDMENTS TO THE LIST OF FEES OF MONTREAL EXCHANGE INC. EFFECTIVE MARCH 2, 2026
February 02, 2026

Montréal Exchange Inc. announces the following amendments to its List of Fees effective March 2, 2026. The new List of Fees in bl...

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