search

CIRO SANCTIONS DESIGNED SECURITIES LTD REP FROM REGINA, SK

CIRO sanctioned Michael Henry Wolfond (Wolfond), a dealing representative with Designed Securities Ltd, from Regina, Saskatchewan. CIRO found that Wolfond obtained, possessed and used to process tran...

Continue reading...

CFTC
CFTC ANNOUNCES DEPARTURE OF AMANADA OLEAR AFTER NEARLY 2 DECADES OF SERVICE
April 30, 2025

The Commodity Futures Trading Commission announced former Director of the Market Participants Division and former Acting Director...

FCA
FCA SET TO LAUNCH LIVE AI TESTING SERVICE
April 30, 2025

The FCA is seeking views from firms about how its live AI testing service can help them to deploy safe and responsible AI, which ...

Investment Executive
OSC SEEKS $37.5 MILLION IN BRIDGING SANCTIONS
April 30, 2025

At a hearing over the past couple of days, staff of the Ontario Securities Commission (OSC) asked the Capital Markets Tribunal to...

Investment Executive
ONTARIO COURT OF APPEAL DECISIONS SPLIT ON CRYPTO PLATFORM CLASS ACTIONS
April 30, 2025

Recent Ontario Court of Appeal decisions have underscored significant uncertainty surrounding the liability of cryptocurrency pla...

CIRO
CIRO SANCTIONS CUMBERLAND PRIVATE WEALTH MANAGEMENT AND REP FROM THE BAHAMAS
April 29, 2025

CIRO sanctioned Gary Edmond Perron (Perron), a Registered Representative with Cumberland Private Wealth Management Inc. (CPMW) fr...

More from the news archive ⇨