What to expect when filing on ComSet
CIRO issues new guidance on complaint filing requirements
- By: James Langton
- October 6, 2025 October 8, 2025
- 17:15
Latest news in From the Regulators
FCAA delegates registration to CIRO
Saskatchewan joins other provincial authorities in streamlining registration
- By: James Langton
- October 3, 2025 November 12, 2025
- 15:57
Fraudsman banned by ASC
Man convicted of defrauding investors of $2.97 million hit with market ban
- By: James Langton
- October 3, 2025 November 12, 2025
- 12:16
Fraudsman impersonated crypto influencers
Investors duped by man posing as influencers touting crypto
- By: James Langton
- October 2, 2025 November 12, 2025
- 14:24
SEC expands crypto custodian roster
Move to allow state-regulated firms to hold crypto assets raises worries
- By: James Langton
- October 1, 2025 November 12, 2025
- 14:39
Firms falling short on KYC, suitability: BCSC
Regulator issues report card on Client Focused Reforms compliance
- By: James Langton
- October 1, 2025 November 12, 2025
- 14:23
SEC seeks to curb CAT costs
Regulator issues order designed to reduce audit trail operating costs
- By: James Langton
- September 30, 2025 November 12, 2025
- 14:44
Investor advocates oppose SEC on auto-voting
Groups call on regulator to reverse approval for Exxon plan
- By: James Langton
- September 30, 2025 November 12, 2025
- 14:36
Treat clients fairly during postal strike: FSRA
Regulator reminds industry to use alternate communications during disruption
- By: James Langton
- September 29, 2025 November 12, 2025
- 16:59
Banned advisor gets jail for fraud in U.S.
Rep allegedly stole over US$500,000 of an elderly man's inheritance
- By: James Langton
- September 29, 2025 September 29, 2025
- 15:23
Court orders costs in failed trailer fee class action
Effort to sue discount brokers over trailer fees ends with plaintiffs paying
- By: James Langton
- September 29, 2025 September 29, 2025
- 15:12
That psych degree may not be a waste after all
CIRO provides guidance on new education, experience requirements for reps
- By: James Langton
- September 29, 2025 September 29, 2025
- 14:54
Couple settles insider trading case
Score exec used wife's friend to trade ahead of Penn Gaming deal
- By: James Langton
- September 26, 2025 September 26, 2025
- 16:04
Regs propose harmonized expertise exemption
Self-certified exemption enables savvy investors to invest alongside accredited investors
- By: James Langton
- September 25, 2025 September 26, 2025
- 15:49
Corporate loan allegedly used to dissuade SEC
Facing a regulatory investigation, man used firm's loan to cut investor losses
- By: James Langton
- September 25, 2025 September 25, 2025
- 15:24
Canadian AI founder faces U.S. fraud charge
Authorities allege that ex-CEO falsified financials to dupe venture investors
- By: James Langton
- September 25, 2025 September 25, 2025
- 15:17
FINTRAC sanctions KuCoin crypto platform
Firm fined $19.6 million for alleged transactions involving illegal activity
- By: James Langton
- September 25, 2025 September 25, 2025
- 10:52
Russian charged in Canadian, U.S. account hacks
SEC alleges that hacked accounts were used to manipulate illiquid securities
- By: James Langton
- September 24, 2025 September 24, 2025
- 16:34
Former bank employee faces charges after allegedly accessing prime minister’s data
Ottawa man who worked for RBC charged with fraud, identity theft
- By: Jim Bronskill, The Canadian Press
- September 24, 2025 September 24, 2025
- 16:25
U.S. exec sanctioned for insider trading
Trader exploited material, non-public information on numerous companies
- By: James Langton
- September 24, 2025 September 24, 2025
- 14:50
Ottawa planning ‘refreshed’ AI strategy, data protection bill
Federal ministers aim to update Canada’s AI approach by year-end
- By: Anja Karadeglija, The Canadian Press
- September 24, 2025 September 24, 2025
- 14:41
Rep throws gutter ball on disclosure
Failing to reveal clients' involvement in bowling businesses ends in sanctions
- By: James Langton
- September 24, 2025 September 24, 2025
- 14:36
Appeal court upholds OSC receivership
Regulator's "serious concern" enough to justify court ordered receiver
- By: James Langton
- September 24, 2025 September 24, 2025
- 13:58
Botched beneficiary switch results in legal mess
Estate trustee challenges life insurance payout, claiming unjust enrichment
- By: James Langton
- September 24, 2025 September 24, 2025
- 09:23
Exec settles ASC’s fraud, disclosure allegations
Public company's assets used to pay bills of related, private firm
- By: James Langton
- September 23, 2025 September 23, 2025
- 16:41