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FEDERAL COURT ORDERS UNREGISTERED POOL OPERATOR AND ITS PRESIDENT TO PAY OVER $11 MILLION FOR FOREX FRAUD

The Commodity Futures Trading Commission announced Judge Linda V. Parker of the U.S. District Court for the Eastern District of Michigan issued an order of default judgment and a permanent injunction...

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Investment Executive
EMERGE ETFS CLASS ACTION WON"T PROCEED
April 29, 2024

A proposed class action lawsuit filed against former fund manager Emerge Canada Inc. will not be proceeding because “the prospect...

CIRO
CIRO PROPOSED INTEGRATED FEE MODEL
April 26, 2024

The Canadian Investment Regulatory Organization (CIRO) is proposing a new integrated fee model (the “proposed integrated fee mode...

CSA
CSA PUBLISHES RESEARCH ON IMPACT OF CLIENT RELATIONSHIP MODEL AMENDMENTS ON INDUSTRY AND INVESTOR BEHAVIOUR
April 26, 2024

The Canadian Securities Administrators (CSA) published two research reports that examined the investment fund industry and invest...

BCSC
B.C. RESIDENT PAYS $10,000 FOR UNREGISTERED ACTIVITY
April 26, 2024

A B.C. resident has paid $10,000 to the B.C. Securities Commission (BCSC) and agreed to a temporary market ban after admitting to...

BCSC
BCSC ALLEGES THAT B.C. RESIDENT AND COMPANY SOLICITED AND REFERRED INVESTORS WITHOUT BEING REGISTERED
April 26, 2024

The B.C. Securities Commission (BCSC) is alleging that a former B.C. resident and his company traded in securities without being ...

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