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JOINT FORUM OF FINANCIAL MARKET REGULATORS DISCUSSES EMERGING TRENDS AND INNOVATION IN CANADIAN MARKETS AT ANNUAL MEETING

The Joint Forum of Financial Market Regulators (Joint Forum) held its annual meeting on April 10, 2024, bringing together members of the Canadian Securities Administrators (CSA), the Canadian Council...

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ASC
FORMER REGISTRANT SETTLES WITH THE ASC FOR UNREGISTERED DEALING
April 16, 2024

The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with Denis Jerome Poelzer, of Calgar...

CFTC
FEDERAL COURT ORDERS CALIFORNIA MAN AND HIS COMPANY TO PAY $9 MILLION IN RESTITUTION AND PENALTIES FOR FOREX FRAUD
April 16, 2024

The Commodity Futures Trading Commission announced the entry of a consent order in the U.S. District Court for the Eastern Distri...

Investment Executive
CRYPTO EXCHANGE HACKER GETS JAIL TIME
April 16, 2024

A hacker who uncovered and breached security weaknesses at crypto exchanges has been sent to prison in the first case involving w...

Investment Executive
REAL-ESTATE PONZI SCHEMER SANCTIONED BY BCSC
April 16, 2024

An investment fraudster has been banned and fined by the British Columbia Securities Commission (BCSC) in connection with an alle...

Investment Executive
WILL 2024 BE THE YEAR OF COMPLIANCE TECHNOLOGY?
April 16, 2024

The wealth industry appears to be crossing the chasm from early to mass adoption of compliance technology. Key drivers of this sh...