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FINTRAC"S FINANCIAL INTELLIGENCE DISCLOSURES

As Canada"s financial intelligence unit and anti-money laundering and anti-terrorist financing regulator, FINTRAC ensures the compliance of 24,000 businesses subject to the Proceeds of Crime (Money L...

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Investment Executive
FUND MANAGER FINED, BANNED IN OSC SETTLEMENT
June 27, 2022

Failed fund manager Stableview Asset Management Inc. and its founder, Colin Fisher, have been sanctioned in a settlement with the...

CFTC
CFTC ORDERS STARBERRY LIMITED TO PAY OVER $1.37 MILLION FOR FAILING TO REGISTER AS A FUTURES COMMISSION MERCHANT
June 27, 2022

The Commodity Futures Trading Commission issued an order simultaneously filing and settling charges against Starberry Limited for...

IIROC
AGF SECURITIES (CANADA) LIMITED RESIGNS FROM IIROC MEMBERSHIP
June 24, 2022

AGF Securities (Canada) Limited has resigned from membership in the Investment Industry Regulatory Organization of Canada. This r...

CSA
CSA STAFF NOTICE 21-331 INFORMATION PROCESSOR FOR EXCHANGE-TRADED SECURITIES OTHER THAN OPTIONS
June 24, 2022

Canadian Securities Administrators (CSA) staff (CSA staff or we) are publishing this notice to inform the public that the TMX Inf...

Fintrac
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON SOKHOM UNG, OPERATING AS BUREAU DE CHANGE SAINT-MICHEL
June 24, 2022

FINTRAC announced that it has imposed an administrative monetary penalty on Sokhom Ung, also operating as Bureau de Change Saint-...

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