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NEW FRAMEWORK FOR DISTRIBUTING DISGORGED FUNDS COLLECTED TO HARMED INVESTORS COMES INTO FORCE

On September 1, 2025, a new statutory framework and related Ontario Securities Commission (OSC) Rules came into force to facilitate the distribution of funds collected under disgorgement orders to in...

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TMX
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
September 03, 2025

(Clearing Member # 022) relinquished its status as a clearer in Exchange-traded Futures derivatives products. Please note, howeve...

FCA
WEST BROTHERS SENTENCED FOR INSIDER TRADING AND FORCED TO PAY £280,000
September 03, 2025

Matthew and Nikolas West have been sentenced for insider dealing, in a prosecution brought by the FCA. Matthew West has been sent...

CIRO
CIRO SANCTIONS DEALING REPRESENTATIVE WITH INVESTORS GROUP IN RICHMOND HILL, ONTARIO
September 02, 2025

CIRO Sanctions Domenic Cappola, Dealing Representative with Investors Group Financial Services, in Richmond Hill, Ontario for: •...

CIRO
CIRO SANCTIONS DEALING REPRESENTATIVE WITH QUADRUS INVESTMENT IN NIAGARA, ONTARIO
September 02, 2025

CIRO sanctioned David Somerville, a Dealing representative with Quadrus Investment in Niagara for failing to properly execute cli...

BCSC
BCSC CHARGES NORTH SHORE MAN WITH FRAUD, THEFT, IDENTIFY FRAUD AND BREACHING A BCSC ORDER
September 02, 2025

The BCSC has charged, Frederick Johnathon Nielsen, a North Shore man with fraud, theft, identify fraud and breaching a BCSC order...

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