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CIRO SANCTIONS FORMER HSBC INVESTMENT FUNDS (CANADA) INC. REP FROM RICHMOND HILL, ON

CIRO sanctioned Debojyoti (Debo) Majumder (Majumder), a former Dealing Representative with HSBC Investment Funds (Canada) Inc. from Richmond Hill, Ontario. CIRO found that Majumder failed to cooperat...

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CIRO
EXEMPTIONS GRANTED BY CIRO IN 2025
August 11, 2026

Each year, CIRO’s Board of Directors (the Board) and staff consider and, in appropriate cases, grant exemptions from specific Inv...

SEC
SEC CHARGES PRIVATE FUND ADVISER ADIT VENTURES MANAGEMENT, ITS CEO AND AFFILIATED GENERAL PARTNERS IN ALLEGED FRAUD
August 11, 2026

The Securities and Exchange Commission charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munso...

NASAA
NASAA APPROVES UPDATED WAITING PERIOD FOR SERIES 63, 65, AND 66 EXAM RETESTS
August 11, 2026

The North American Securities Administrators Association (NASAA) announced a change to one of the waiting periods associated with...

Investment Executive
CFTC CALLS OUT PREDICTION MARKET PRICING
August 11, 2026

As the U.S. Commodity Futures Trading Commission (CFTC) takes a greater role in regulating prediction markets, it’s warning firms...

CIRO
CIRO SANCTIONS FORMER BMO INVESTMENTS INC. FROM EDMONTON, AB
August 10, 2026

CIRO sanctioned Tiffany Lee Felker (Felker), a former Registered Dealing Representative with BMO Investments Inc. from Edmonton, ...

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