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CIRO TO HOLD SANCTIONS HEARING FOR FORMER NATIONAL BANK FINANCIAL REP FROM TORONTO, ON

CIRO has scheduled a sanctions hearing for Matthew Philip Ewing (Ewing), a former Registered Representative with National Bank Financial from Toronto, Ontario. CIRO found that Ewing engaged in conduc...

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CIRO
CIRO ALLEGES WRONGDOING BY FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM ST. JOHN"S, NFLD
September 04, 2025

CIRO alleges that James Benjamin Peddle, a former Registered Representative with Investors Group Financial Services Inc. from St....

SEC
SEC AND CFTC STAFF ISSUE JOINT STATEMENT ON TRADING OF CERTAIN SPOT CRYPTO ASSET PRODUCTS
September 04, 2025

Staff of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) issued a Joint Statemen...

Investment Executive
CI FINANCIAL SUB TO BECOME WORLD"S LARGEST INDEPENDENT WEALTH MANGER
September 04, 2025

Corient, the U.S. subsidiary of CI Financial Corp., announced the purchase of two European money managers on Tuesday, making it t...

OSC
NEW FRAMEWORK FOR DISTRIBUTING DISGORGED FUNDS COLLECTED TO HARMED INVESTORS COMES INTO FORCE
September 03, 2025

On September 1, 2025, a new statutory framework and related Ontario Securities Commission (OSC) Rules came into force to facilita...

TMX
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
September 03, 2025

(Clearing Member # 022) relinquished its status as a clearer in Exchange-traded Futures derivatives products. Please note, howeve...

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