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CIRO SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM WINNIPEG, MB

CIRO sanctioned Lifan Song, a former dealing representative with Investors Group Financial Services Inc. from Winnipeg, Manitoba. CIRO found that he failed to report to the Dealer Member complaints t...

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Fintrac
FINTRAC GUIDANCE RELATED TO THE MINISTERIAL DIRECTIVE ON FINANCIAL TRANSACTIONS ASSOCIATED WITH RUSSIA ISSUED ON FEBRUARY 24, 2024
February 26, 2024

This guidance is related to the Ministerial Directive issued by the Minister of Finance that was published in the Canada Gazette ...

Fintrac
UPDATE TO THE GUIDANCE RELATED TO THE MINISTERIAL DIRECTIVE ON FINANCIAL TRANSACTIONS ASSOCIATED WITH THE ISLAMIC REPUBLIC OF IRAN: CLARIFICATIONS ON REQUIREMENTS FOR VIRTUAL CURRENCY TRANSACTIONS
February 26, 2024

This guidance explains the requirements of the Ministerial Directive on Financial Transactions Associated with the Islamic Republ...

SEC
SEC CHARGES HUSBAND OF ENERGY COMPANY MANAGER WITH INSIDER TRADING
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The Securities and Exchange Commission charged Tyler Loudon of Houston, Texas, with insider trading ahead of a February 2023 anno...

SEC
SEC UPDATES ETHICS RULES GOVERNING SECURITIES TRADING BY AGENCY PERSONNEL
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The Securities and Exchange Commission adopted amendments to its ethics rules to strengthen and modernize its ethics compliance p...

CIRO
CIRO SANCTIONS INVESTIA FINANCIAL SERVICES REP FROM CALGARY, AB
February 23, 2024

CIRO sanctioned Michael Bock (Bock), a dealing representative with Investia Financial Services Inc. from Calgary, Alberta. CIRO f...