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NEW WEBCAST: HIGHLIGHTS OF CIRO"S 2025-2026 ENFORCEMENT REPORT

Firm, fair and effective enforcement is critical to protecting investors, enhancing industry standards, and strengthening market integrity. Each year, we publish the Enforcement Report to update inve...

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CSA
CSA MARKET UPDATE : CHANGES TO CSA DERIVATIVES DATA TECHNICAL MANUAL
August 12, 2026

The securities regulatory authorities of Ontario, Québec, Manitoba, Alberta, British Columbia, New Brunswick, Newfoundland and La...

OSC
OSC INVESTOR WARNINGS AND ALERTS FOR JULY 21 - AUGUST 11, 2026
August 12, 2026

The Ontario Securities Commission (OSC) is warning Ontario investors that the following companies are not registered to deal or a...

Investment Executive
EX-CFO EMBEZZLED FROM HEDGE FUND
August 12, 2026

The former chief financial officer of a U.S. hedge fund pleaded guilty in connection with allegations that he embezzled more than...

Investment Executive
SEC SANCTIONS AFTER-HOURS SPOOFING
August 12, 2026

A trader who engaged in spoofing during extended trading hours has settled enforcement allegations from the U.S. Securities and E...

CIRO
CIRO SANCTIONS FORMER HSBC INVESTMENT FUNDS (CANADA) INC. REP FROM RICHMOND HILL, ON
August 11, 2026

CIRO sanctioned Debojyoti (Debo) Majumder (Majumder), a former Dealing Representative with HSBC Investment Funds (Canada) Inc. fr...

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