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CIRO ALLEGES UNSUITABLE INVESTMENTS BY WFG SECURITIES INC REP FROM SURREY, BC

CIRO has scheduled a settlement hearing for Sanjeev Kumar Tejpal (Tejpal), a Registered Representative with WFG Securities Inc from Surrey, British Columbia. CIRO alleged that Tejpal failed to ensure...

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FCA
CONVICTED MONEY LAUNDERER SENTENCED TO EXTRA PRISON TIME
May 11, 2026

A convicted money launderer has been sentenced to an additional 499 days in prison for failing to fully pay the money owed under ...

OSC
NOTICE OF COMMISSION APPROVAL OF OSC RULE 13-513 EXTENSION TO ONTARIO INSTRUMENT 13-512 TEMPORARY EXEMPTION FROM THE REQUIREMENT TO TRANSMIT A REPORT OF EXEMPT DISTRIBUTION THROUGH SEDAR+
May 08, 2026

On February 25, 2026, the Ontario Securities Commission (the OSC) made as a rule under the Securities Act (Ontario) (the Act) loc...

SEC
SEC CHARGES 21 INDIVIDUALS WITH ALLEGED WIDE-REACHING INSIDER TRADING SCHEME
May 08, 2026

The Securities and Exchange Commission charged 21 individuals for their alleged involvement in a decade-long insider trading sche...

Investment Executive
POTENTIAL FOR INCREASED FA PROFICIENCY STILL IN PLAY
May 08, 2026

Title protection could soon take a turn that promotes wider adoption, as a province that floated greater proficiency for the fina...

OSC
ONTARIO SECURITIES COMMISSION ISSUES 2026 RISK ASSESSMENT QUESTIONNAIRE
May 07, 2026

The Ontario Securities Commission (OSC) issued the 2026 Risk Assessment Questionnaire (RAQ). The OSC uses a risk-based approach t...

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