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CIRO ALLEGES MISAPPROPRIATION BY FORMER SCOTIA SECURITIES REP FROM BURLINGTON, ON

CIRO has scheduled a disciplinary hearing for Osama Navaid (Navaid), a former Registered Representative with Scotia Securities Inc. from Burlington, Ontario. CIRO alleges that Navaid misappropriated ...

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CSA
CSA SEEKS COMMENT ON MODERNIZING THE REGULATION OF PUBLIC COMPANIES
July 17, 2026

The Canadian Securities Administrators (CSA) published a consultation paper (the Consultation Paper) seeking stakeholder input on...

SEC
SEC PROPOSES NEW E-DELIVERY APPROACH TO MAKE INFORMATION MORE READILY ACCESSIBLE AND USEFUL FOR INVESTORS
July 17, 2026

The Securities and Exchange Commission proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broke...

Investment Executive
EX-TD BANKERS LAND IN JAIL
July 17, 2026

A pair of former TD Bank employees in New York are going to jail for their roles in financial crimes that targeted the bank, incl...

CIRO
CIRO SANCTIONS FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
July 16, 2026

CIRO sanctioned George Alexander Abisaleh (Abisaleh), a former Registered Representative with TD Investment Services Inc. from To...

OSC
CSA PUBLISHES UPDATED CYBERSECURITY FINDINGS AND GUIDANCE FOR REGISTERED FIRMS
July 16, 2026

The Canadian Securities Administrators (CSA) published CSA Staff Notice 33-322 - Review of Registered Firms’ Cybersecurity Practi...

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