Expanded fund reporting requirements to take effect in 2026
Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets
On July 1, Quebec joins effort to streamline registration, cut regulatory burden
SRO sees jump in complaints, investigations, but proceedings down
Reps fined, banned for personal financial dealings with clients
Firm repaid almost $600,000 to client for losses, DSC fees, tax, lost gains
Regulator outlines examination priorities for fiscal 2026
Regulator proposes broad prohibition on trading in connection with offerings
Contracts to trade crypto for clients amounted to securities, regulators said
Broker failed to meet gatekeeper obligations, missed red flags, when trading penny stocks for U.K. firm