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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES

CIRO sanctioned Edward Jones (Canada) for failing to establish and maintain adequate systems of internal controls and supervision to ensure that client fee agreements were accurately recorded and tha...

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OSC
OSC INVESTOR WARNINGS AND ALERTS FOR NOVEMBER 11 - DECEMBER 2, 2025
December 03, 2025

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

Fintrac
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON 2294235 ONTARIO INC.
December 03, 2025

FINTRAC announced that it has imposed an administrative monetary penalty on 2294235 Ontario Inc., also operating as Global Curren...

FINRA
FINRA CARD ENHANCEMENTS - A FINRA FORWARD UPDATE
December 03, 2025

Report cards were first introduced as a tool to promote compliance in technical areas of market oversight, starting with equity t...

FCA
FCA CENSURES INSTITUTE OF CERTIFIED BOOKKEEPERS FOR FAILINGS IN ANTI-MONEY LAUNDERING SUPERVISION
December 03, 2025

This marks the FCA"s first enforcement outcome against a professional body supervisor. The FCA has censured the Institute of Cert...

CIRO
CIRO MEMBER CHANGE OF CONTROL - STONEHAGE FLEMING FAMILY & PARTNERS LIMITED
December 02, 2025

The Canadian Investment Regulatory Organization have approved a change of control whereby Corient International Holdings Limited ...

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