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OSC ISSUES TEMPORARY CEASE TRADE ORDER AGAINST ADAM JOSEPH ARQUETTE AND ARGQUETTE INSURANCE AND WEALTH MANAGEMENT

The Ontario Securities Commission (OSC) has issued a Temporary Cease Trade Order (TCTO) against Mr. Adam Joseph Arquette and his company Arquette Insurance and Wealth Management (AIWM). The OSC is in...

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BCSC
BCSC BANS TWO PEOPLE FROM INVESTMENT MARKET FOR MISCONDUCT RELATED TO STARTUP
October 29, 2025

The BC Securities Commission (BCSC) has permanently banned two people from B.C.’s investment market following findings by Austral...

AMF
AMF AND SECURITIES AND FUTURES COMMISSION OF HONG KONG ENHANCE COOPERATION AND MARKET ACCESS IN THE AREA OF ASSET MANAGEMENT
October 28, 2025

The Autorité des marchés financiers (AMF) and the Securities and Futures Commission of Hong Kong (SFC) have concluded a Memorandu...

FCA
INFORMATION FOR FIRMS LOOKING TO OFFER CRYPTO EXCHANGE TRADED NOTES
October 28, 2025

Consumers can now access crypto exchange trade notes (cETNs), with several products available. The FCA lifted the ban on retail a...

Investment Executive
WOMAN SANCTIONED FOR INSIDER TRADING
October 28, 2025

An Ontario woman has been banned from trading for two years, and agreed to disgorge her share of insider trading profits, in a se...

Investment Executive
N.B."S TITLE PROTECTION DROPS ENHANCED EDUCATIONAL REQUIREMENT FOR FINANCIAL ADVISORS
October 28, 2025

New Brunswick’s securities regulator has approved its title protection rules, dropping an enhanced educational requirement for th...

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