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CANADIAN SECURITIES REGULATORS ANNOUNCE TEMPORARY EXEMPTIONS FOR DERIVATIVES DEALERS AND ADVISERS

The Canadian Securities Administrators (CSA) today announced coordinated local blanket orders (the Blanket Orders) to provide temporary exemptions for obligations set out in National Instrument 93-10...

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SEC
SEC CHARGES VIRGINIA ENGINEER WITH ORCHESTRATING $30 MILLION OFFERING FRAUD
July 26, 2024

The Securities and Exchange Commission today charged Babu Ramaraj, a resident of Aldie, Virginia, with defrauding more than 70 in...

FCA
FCA TAKES FIRST ENFORCEMENT ACTION AGAINST FIRM ENABLING CRYPTOASSET TRADING
July 26, 2024

CB Payments Limited (CBPL) has been fined £3,503,546 by the Financial Conduct Authority (FCA) for repeatedly breaching a requirem...

CIRO
DOHENY SECURITIES RESIGNING CIRO MEMBERSHIP
July 25, 2024

The Canadian Investment Regulatory Organization has been informed that Doheny Securities Limited intends to resign its membership...

BCSC
BCSC SUSPENDS REGISTRATION OF GENESIS WEALTH MANAGEMENT CORPORATION IN RICHMOND
July 25, 2024

The BCSC has suspended the registration of Genesis Wealth Management Corporation ("Genesis"), an exempt market dealer for failing...

CSA
MUCH WORK TO BE DONE, CSA YEAR IN REVIEW SHOWS
July 25, 2024

The Canadian Securities Administrators (CSA) have a long list of accomplishments from the past year — from policy work to enforce...

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