investor protection

ASC panel sanctions ex-rep, company ASC panel sanctions ex-rep, company

News

ASC panel sanctions ex-rep, company

Regulator issues permanent ban in fraud, illegal distribution case

By James Langton |July 14, 2025

3 min read

Former rep sanctioned for risky discretionary trading Former rep sanctioned for risky discretionary trading

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

CIRO’s CRM3 rules get CSA approval CIRO’s CRM3 rules get CSA approval

News

CIRO’s CRM3 rules get CSA approval

Expanded fund reporting requirements to take effect in 2026

By James Langton |July 3, 2025

1 min read

Dealer sanctioned over gatekeeping failure Dealer sanctioned over gatekeeping failure

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