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VANCOUVER MAN RECEIVES CONDITIONAL SENTENCE AND MUST PAY $29,000 IN RESTITUTION TO VICTIMS

A Vancouver man who pleaded guilty to the Criminal Code offence of obtaining credit by false pretence or fraud has been given a three-month conditional sentence and must pay $29,000 in restitution to...

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IIROC
IIROC GUIDANCE ON PARTICIPANT OBLIGATIONS TO HAVE REASONABLE EXPECTATION TO SETTLE ANY TRADE RESULTING FROM THE ENTRY OF A SHORT SALE ORDER
August 18, 2022

This Guidance Note (Notice) provides guidance on the obligation of a Participant to have reasonable expectations, prior to the en...

SEC
SEC CHARGES BARRED BROKER AND HIS COMPANY WITH DEFRAUDING OLDER AMERICANS
August 18, 2022

The Securities and Exchange Commission charged Global Business Development and Consulting Corp. (Global) and its owner, Anthony J...

SEC
SEC CHARGES EAGLE BANCORP AND FORMER CEO WITH FAILING TO DISCLOSE RELATED PARTY LOANS
August 18, 2022

The Securities and Exchange Commission charged Eagle Bancorp, Inc., based in Bethesda, Maryland, and its former Chief Executive O...

CFTC
CFTC STAFF EXTENDS TEMPORARY NO-ACTION LETTER REGARDING CAPITAL AND FINANCIAL REPORTING FOR CERTAIN NON-U.S. NONBANK SWAP DEALERS
August 18, 2022

The Commodity Futures Trading Commission’s Market Participants Division (MPD) announced it has issued a temporary no-action lette...

IOSCO
THE IOSCO WORLD INVESTOR WEEK CONTINUES TO PROMOTE INVESTOR EDUCATION AND INVESTOR PROTECTION WORLDWIDE
August 18, 2022

The International Organization of Securities Commissions (IOSCO) will celebrate the sixth annual World Investor Week (WIW), from ...