search

CIRO ALLEGES WRONGDOING BY FORMER RR WITH SCOTIA SECURITIES IN VICTORIA, BC

CIRO has scheduled a hearing panel pursuant to the Mutual Fund Dealer Rules to consider a settlement agreement between CIRO Enforcement Staff and Gaurav (Gavin) Banerjee, a former RR with Scotia Secu...

Continue reading...

OSC
OSC REACHES SETTLEMENT WITH LIQUIDNET CANADA FOR CONFIDENTIALITY BREACHES
April 16, 2026

The Capital Markets Tribunal approved the OSC settlement agreement with Liquidnet Canada Inc. (LCI), a marketplace operator, fol...

BCSC
CEO PAYS BCSC $25,000 FOR LATE INSIDER REPORTS
April 14, 2026

The CEO of a publicly-traded junior mineral exploration company has paid $25,000 to the BC Securities Commission (BCSC) for faili...

Investment Executive
NBF SANCTIONED FOR SUPERVISORY SHORTCOMINGS
April 14, 2026

In a settlement with regulators, investment dealer, National Bank Financial Inc. (NBF), agreed to pay $1 million to resolve alleg...

Investment Executive
OSC SECURES BAN ON CANADIAN CONVICTED IN U.S.
April 14, 2026

Ontario’s Capital Markets Tribunal has banned another Canadian convicted of securities-related criminal charges in the U.S. The O...

Investment Executive
FRAUD CONVICTION THAT FOLLOWED INITIAL ACQUITTAL FACES NEW APPEAL
April 14, 2026

A man convicted of securities fraud for allegedly misleading investors about the assets backing a crypto token has been granted l...

More from the news archive ⇨