search

CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM HALTON HILLS, ON

CIRO sanctioned Joshua Emanuel Mifsud, a former dealing representative with BMO Investments Inc. from Halton Hills, Ontario. CIRO found that between September 7, 2021 and September 9, 2021, he cut a...

Continue reading...

CSA
CANADIAN SECURITIES REGULATORS ADOPT FINAL AMENDMENTS RELATED TO SHORTENED SETTLEMENT CYCLES FOR MUTUAL FUNDS
May 24, 2024

The Canadian Securities Administrators (CSA) published final amendments that would help mutual funds that voluntarily shorten the...

BCSC
BCSC REACHES SETTLEMENT WITH LANGLEY RESIDENT WHO ADMITTED TO MISREPRESENTATION
May 24, 2024

The B.C. Securities Commission (BCSC) has imposed an investment market suspension on the former director of a B.C. company for fa...

CFTC
CFTC ORDERS J.P. MORGAN TO PAY $200 MILLION FOR SUPERVISION FAILURES
May 24, 2024

The Commodity Futures Trading Commission issued an order simultaneously filing and settling charges against J.P. Morgan Securitie...

FCA
FCA FINES HSBC £6.2 MILLION OVER TREATMENT OF CUSTOMERS IN FINANCIAL DIFFICULTY
May 24, 2024

The FCA has fined HSBC UK Bank plc, HSBC Bank plc and Marks and Spencer Financial Services plc (HSBC) £6,280,100 for failures in ...

Investment Executive
BASIC PRODUCTS, ADVICE NEEDED TO BOOST INVESTING: ESMA
May 24, 2024

European policymakers should facilitate the provision of basic retail investment advice and the creation of basic retail products...