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CIRO SANCTIONS INDEPENDENT TRADING GROUP INC. FOR GATEKEEPER FAILURE

CIRO sanctioned Independent Trading Group Inc. for failing to act as a gatekeeper in relation to the trading activity in U.S. over-the-counter (OTC) securities by two foreign broker dealer clients. T...

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REGULATORS AND AUDIT LEADERS DISCUSS AUDIT QUALITY AND CONFIDENCE IN CANADA"S FINANCIAL REPORTING
May 05, 2026

Last week, the Office of the Superintendent of Financial Institutions (OSFI), together with the Canadian Public Accountability Bo...

Investment Executive
TRIBUNAL BANS B.C. MAN OVER U.S. PUMP-AND-DUMP
May 05, 2026

Ontario’s Capital Markets Tribunal permanently banned a British Columbia man who was accused of running pump-and-dump schemes on ...

Investment Executive
ESMA AIMS TO EASE FUNDS" BURDEN
May 05, 2026

In an effort to reduce the compliance burden on the investment fund industry, the European Securities and Markets Authority (ESMA...

Investment Executive
U.S. FIRM SETTLES OVERCHARGING ALLEGATION
May 05, 2026

U.S. advisory firm American Portfolios Advisors, Inc. (APA) is being sanctioned in a settlement with the securities regulators fo...

Investment Executive
SIFMA SEEKS RELIEF ON SANCTIONS
May 05, 2026

Citing the harm faced by investors when the U.S. government imposes financial sanctions on foreign regimes, the Securities Indust...