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CIRO ALLEGES MISAPPROPRIATION BY FORMER SCOTIA SECURITIES INC REP FROM OAKVILLE, ON

CIRO has scheduled a disciplinary hearing for Vachana Cissy Terance (Terance). CIRO alleges that Terance misappropriated or failed to account for monies that she obtained from bank accounts of indivi...

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OSC
OSC INVESTOR WARNINGS AND ALERTS FOR SEPTEMBER 22, 2026 - OCTOBER 14, 2026
October 15, 2026

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

IOSCO
GLOBAL STANDARD-SETTING BODIES PUBLISH FINAL REPORT ON GUIDANCE FOR FMIS ON GENERAL BUSINESS RISK AND GENERAL BUSINESS LOSSES
October 15, 2026

The Bank of International Settlements (BIS)’ Committee on Payments and Market Infrastructures (CPMI) and the International Organi...

Investment Executive
ADVISOR HACKED, FIRM SANCTIONED
October 15, 2026

After one of its advisors faced a cyberattack, an Australian firm is being sanctioned for failing to provide adequate security. T...

CIRO
CIRO PROPOSED GUIDANCE ON MARKETPLACE THRESHOLDS AND SINGLE-STOCK CIRCUIT BREAKERS
October 14, 2026

The Canadian Investment Regulatory Organization (CIRO) is proposing to apply volatility controls to extended trading hours. The G...

OSC
OSC ANNOUNCES NEW INVESTOR ADVISORY PANEL MEMBERS AND CHAIR
October 14, 2026

The Ontario Securities Commission (OSC) announced three new members of its independent Investor Advisory Panel (IAP) following a ...

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