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NEW WEBCAST: CIRO ADVISORY COMMITTEES

This webcast provides an overview of CIRO’s advisory committee structure, summarizing the role and structure of the following: Financial and Operations Advisory Section (FOAS), Conduct, Compliance an...

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IFIC
IFIC SUPPORTS CSA"S PROPOSAL TO REQUIRE DIVERSITY REPORTING OF CORPORATE GOVERNANCE REPRESENTATION OF FIVE DESIGNATED GROUPS
October 03, 2023

The Investment Funds Institute of Canada (IFIC) made a?submission?to the Canadian Securities Administrators (CSA) in support of e...

OSC
OSC ALLEGES MULTIPLE BREACHES OF SECURITIES LAW BY OFFSHORE CRYPTO ASSET TRADING PLATFORM
October 03, 2023

The Ontario Securities Commission (OSC) announced it filed a Statement of Allegations against Manticore Labs OÜ and Manticore Lab...

SEC
SEC SPOTLIGHTS DUE DILIGENCE DURING WORLD INVESTOR WEEK 2023
October 03, 2023

The Securities and Exchange Commission announced it will highlight the importance of investor education and protection during Wor...

CFTC
FOREIGN TRADING PLATFORM CHARGED WITH FAILURE TO REGISTER AND SUPERVISE ITS ANTI-MONEY LAUNDERING PROCEDURES
October 03, 2023

The Commodity Futures Trading Commission issued an order simultaneously filing and settling charges against Switzerland-based LYF...

CFTC
CFTC ORDERS GOLDMAN SACHS TO PAY $3 MILLION FOR SUPERVISION FAILURES AND MATERIAL OMISSIONS IN A LETTER TO THE CFTC"S DIVISION OF ENFORCEMENT
October 03, 2023

The Commodity Futures Trading Commission issued an order simultaneously filing and settling charges against Goldman Sachs & Co. L...

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