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CIRO SANCTIONS PFSL INVESTMENTS CANADA LTD. FOR SUPERVISORY FAILURES

CIRO sanctioned PFSL Investments Canada Ltd for supervisory failures in relation to redemptions processed in the accounts of a client, PFSL’s internal supervisory controls did not detect that the ema...

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CIRO
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
April 23, 2026

CIRO has scheduled a disciplinary hearing for Alain Georges Cogan (Cogan), a former Registered Dealing Representative with Quadru...

OSC
SEJEAN REID AND WHITNEY CHARLES CHARGED WITH FRAUD AND MONEY LAUNDERING
April 23, 2026

The Ontario Securities Commission (OSC) announces that Mr. Sejean Reid and Ms. Whitney Charles of Oakville, Ontario have each bee...

FCA
FCA LEADS FIRST CRACKDOWN ON ILLEGAL CRYPTO TRADING
April 23, 2026

The FCA has carried out its first operation with partners to disrupt illegal peer-to-peer crypto trading across multiple London l...

Investment Executive
OSFI TO LAUNCH EXPEDITED LICENSING PROCESS
April 23, 2026

In an effort to streamline the licensing of new ventures, federal financial regulators are adopting a streamlined application pro...

Investment Executive
AI MEANS POTENTIAL "BIG SHIFT" IN REGULATORY RESPONSIBILITIES: KRIEGLER
April 23, 2026

The regulatory responsibilities of firms versus those of financial advisors could change meaningfully as the industry increasingl...

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