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OSC INVESTOR WARNINGS AND ALERTS FOR FEBRUARY 3 - 24, 2026

The Ontario Securities Commission (OSC) is warning Ontario investors that the following companies are not registered to deal or advise in securities in Ontario: ESET Trading, Grin Dominance, High Pea...

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SEC
SEC"S DIVISION OF ENFORCEMENT ANNOUNCES UPDATES TO ENFORCEMENT MANUAL
February 25, 2026

The Securities and Exchange Commission’s Division of Enforcement announced significant updates to its Enforcement Manual. These u...

Investment Executive
INVESTOR PROTECTION FOLLOWS FUNCTION, NOT FORM: ESMA
February 25, 2026

Retail derivatives, such as crypto derivatives, that aren’t explicitly marketed as contracts for difference (CFDs) may neverthele...

Investment Executive
CIRO NEEDS TO STOP SAYING "SHOULD"
February 25, 2026

Canada’s retail advice framework was built on a simple promise: the client’s interest must prevail in practice, not just on paper...

CIRO
"ADVANTAGES" TO THE PURCHASER OF A SECURITY
February 24, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance regarding the application of the general principle ...

CIRO
FACILITATION OF A CLIENT SPECIAL SETTLEMENT TRADE AND DOUBLE PRINTING
February 24, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance regarding a Participant’s ability to facilitate a c...

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