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HAPPY HOLIDAYS FROM COMPLIANCE NEWS

Compliance News would like to extend warm wishes to you and your family for a wonderful holiday season and a Happy New Year. Compliance News will be on a holiday break and will resume on January 5, 2...

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OSC
OSC REACHES SETTLEMENT WITH CLAIR DRAGE OF THE LION"S SHARE GROUP INC. (LION"S SHARE GROUP) AND THE WINDROSE GROUP INC. (WINDROSE GROUP)
December 22, 2025

A panel of the Capital Markets Tribunal approved the Ontario Securities Commission’s (OSC) settlement agreement with Claire Drage...

BCSC
PARTICIPANT IN U.S. SECURITIES FRAUD CONSPIRACY BANNED FROM B.C. INVESTMENT MARKET FOR 15 YEARS
December 22, 2025

The BC Securities Commission (BCSC) has banned a man with ties to Vancouver from participating in the investment market for 15 ye...

ASC
ASC ISSUES PUBLIC INTEREST ORDER AGAINST JEFFREY BRIAN BER IN RESPONSE TO CRIMINAL CONVICTION
December 22, 2025

The Alberta Securities Commission (ASC) has banned Jeffrey Brian Ber from participating in Alberta’s capital market in certain ca...

FinCEN
TREASURY CONVENES FINANCIAL INSTITUTIONS AND LAW ENFORCEMENT TO IDENTIFY AND DISMANTLE MONEY LAUNDERING NETWORKS
December 22, 2025

The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) held a FinCEN Exchange, a public-private part...

Investment Executive
SEC SANCTIONS KEY FIGURES IN FTX SCANDAL
December 22, 2025

A trio of former executives with failed crypto giant FTX Trading Ltd. and its related crypto hedge fund, Alameda Research Ltd., a...

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