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CIRO RULE CONSOLIDATION PROJECT UPDATE

The Canadian Investment Regulatory Organization (CIRO) is consolidating its Investment Dealer and Partially Consolidated (IDPC) Rules and Mutual Fund Dealer (MFD) Rules into a single, harmonized rule...

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CIRO
CIRO MEMBER RESIGNATION - PLANNING CIRCLE FINANCIAL GROUP INC.
December 04, 2025

Planning Circle Financial Group Inc. has resigned from membership from the Canadian Investment Regulatory Organization. This resi...

FINRA
FINRA ORDERS SECURITIES AMERICA TO PAY $2 MILLION IN RESTITUTION TO CUSTOMERS, FINES FIRM $1 MILLION FOR MUTUAL FUND SUPERVISION FAILURES
December 04, 2025

FINRA has ordered Securities America, Inc. to pay $2 million in restitution to its customers and has fined the firm $1 million fo...

Investment Executive
ESMA TARGETS RETAIL CONFLICTS OF INTEREST
December 04, 2025

In a region-wide compliance sweep, European securities regulators are targeting conflicts of interest in investment distribution....

Investment Executive
COURT REJECTS ATTEMPT TO REVIVE LAWSUIT AGAINST REP, RBC DS
December 04, 2025

The Court of Appeal for British Columbia rejected a disgruntled investor’s effort to revive a lawsuit against RBC Dominion Securi...

Investment Executive
CRYPTO FRAUD FIGHT TARGETS WEB, APPS, SOCIAL MEDIA
December 04, 2025

As part of an effort to shut down large, foreign-based crypto frauds, the U.S. Department of Justice (DoJ) announced that it has ...

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