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OSC ANNOUNCES ALLEGATIONS AGAINST EMERITA RESOURCES CORP. AND ASSOCIATED INDIVIDUALS

The Ontario Securities Commission (OSC) announced enforcement proceedings against Emerita Resources Corp., five of its directors and officers, as well as an individual related to the alleged miscondu...

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CFTC
CFTC ANNOUNCES INNOVATION TASK FORCE STAFF
April 13, 2026

The Commodity Futures Trading Commission announced the members of the Innovation Task Force. The ITF will work with the Commissio...

Investment Executive
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
April 13, 2026

In a first for the Ontario Securities Commission (OSC), an adjudicator of the Capital Markets Tribunal removed themselves from a ...

CIRO
CIRO ALLEGES UNAUTHORIZED TRANSACTION AND PERSONAL FINANCIAL DEALINGS BY FORMER SCOTIA SECURITIES REP FROM OTTAWA, ON
April 10, 2026

CIRO alleged that Mazhar Hussain Malik, a former dealing representative with Scotia Securities Inc. from Ottawa, Ontario processe...

CIRO
HOUSEKEEPING AMENDMENTS TO FEE MODEL - ENDING OF TRANSITIONARY MEASURES DESCRIBED IN APPENDIX C AND APPENDIX B (PART 2) FOR MUTUAL FUND DEALERS OPERATING IN QUEBEC ON JUNE 30, 2026
April 10, 2026

The Canadian Investment Regulatory Organization (CIRO) is amending its Fee Model to end the transitionary measures described in A...

CIRO
CIRO MEMBER RESIGNATION - JVK LIFE & WEALTH ADVISORY GROUP INC.
April 10, 2026

JVK Life & Wealth Advisory Group Inc. has resigned from membership from the Canadian Investment Regulatory Organization. This res...

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