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CIRO PROPOSED INTEGRATED FEE MODEL

The Canadian Investment Regulatory Organization (CIRO) is proposing a new integrated fee model (the “proposed integrated fee model”) and provides the following materials for comment: (1) Bulletin des...

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CSA
CSA PUBLISHES RESEARCH ON IMPACT OF CLIENT RELATIONSHIP MODEL AMENDMENTS ON INDUSTRY AND INVESTOR BEHAVIOUR
April 26, 2024

The Canadian Securities Administrators (CSA) published two research reports that examined the investment fund industry and invest...

BCSC
B.C. RESIDENT PAYS $10,000 FOR UNREGISTERED ACTIVITY
April 26, 2024

A B.C. resident has paid $10,000 to the B.C. Securities Commission (BCSC) and agreed to a temporary market ban after admitting to...

BCSC
BCSC ALLEGES THAT B.C. RESIDENT AND COMPANY SOLICITED AND REFERRED INVESTORS WITHOUT BEING REGISTERED
April 26, 2024

The B.C. Securities Commission (BCSC) is alleging that a former B.C. resident and his company traded in securities without being ...

BCSC
BCSC ISSUES NOTICE TO REINFORCE EXPECTATIONS FOR INVESTOR RELATIONS DISCLOSURE
April 26, 2024

The B.C. Securities Commission (BCSC) issued a BC Notice to raise awareness of a 2023 Commission decision about promotional discl...

CFTC
FEDERAL COURT ORDERS CALIFORNIA-BASED PRECIOUS METALS COMPANY, CEO, SENIOR SALESPERSON TO PAY OVER $56 MILLION FOR FRAUD IN CONNECTION WITH PRECIOUS METALS SALES
April 26, 2024

The Commodity Futures Trading Commission announced Judge R. Gary Klausner of the U.S. District Court for the Central District of ...

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