enforcement

News

Former rep sanctioned for risky discretionary trading

Clients lost millions on futures trading that generated large commissions

By James Langton |July 7, 2025

2 min read

News

Forex firm faces fraud charges

Police allege financial institutions defrauded in money laundering scheme

By James Langton |July 3, 2025

1 min read

News

CSA flags venture market pump-and-dump risk

Regulators warn about investors being misled by inflated venture acquisitions

By James Langton |July 3, 2025

2 min read

Regulation

Dealer sanctioned over gatekeeping failure

Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets

By James Langton |July 3, 2025

3 min read

Regulation

OSC can now come knocking in your inbox

As of July 1, regulator can serve investigative summonses electronically

By James Langton |July 2, 2025

1 min read

News

Bridging execs hit with over $27 million in sanctions

Tribunal calls misconduct possibly the "most egregious" it has seen

By James Langton |June 18, 2025

4 min read

Regulation

Quebec bill to bring mutual fund reps under CIRO ‘rushed’, industry says

Provincial government, AMF, criticized for a lack of consultation over moves

By Guillaume Poulin-Goyer |May 23, 2025

5 min read

News

Failure to file exemption reports ends in sanctions

Firm qualified for Northwest exemption, but didn't submit reports: BCSC

By James Langton |May 22, 2025

2 min read

Regulation

Ex-rep ordered to repay brokerage loan

B.C. court rejects former rep's claim that settlement was based on fraud

By James Langton |May 13, 2025

3 min read

Regulation

Payback to Bridging investors underway

Transfers to dealers began this week, distributions to investors to follow

By James Langton |May 9, 2025

2 min read

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