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FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.

FINTRAC announced that it has imposed an administrative monetary penalty on Primary Capital Inc. Following a compliance examination, Primary Capital Inc., an exempt market dealer headquartered in Tor...

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SIFMA
MODERNIZING DELIVERY: WHY IT"S TIME FOR THE SEC TO MAKE E-DELIVERY THE DEFAULT
September 19, 2025

In a recent letter to the SEC, SIFMA and SIFMA AMG urged the SEC to take action to update the rules to make electronic delivery t...

SIMA
SIMA RESPONDS TO PROPOSED CHANGES TO OSC RULE GOVERNING ABUSIVE TRADING PRACTICES
September 18, 2025

The Securities and Investment Management Association (SIMA) submitted comprehensive feedback to the Ontario Securities Commission...

BCSC
BCSC ALLEGES INVESTMENT FRAUD BY SURREY MAN
September 18, 2025

A Surrey resident committed fraud by raising money from investors and spending most of it on things like gambling and personal ex...

SEC
SEC AND CFTC EXTEND FORM PF COMPLIANCE DATE TO OCT. 1, 2026
September 18, 2025

The Securities and Exchange Commission and U.S. Commodity Futures Trading Commission each voted to further extend the date for in...

SEC
SEC ISSUES POLICY STATEMENT CLARIFYING THAT MANDATORY ARBITRATION PROVISIONS WILL NOT AFFECT EFFECTIVENESS OF REGISTRATION STATEMENTS
September 18, 2025

The Securities and Exchange Commission published a policy statement to announce that decisions about whether to accelerate the ef...

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