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ASC ISSUES PUBLIC INTEREST ORDERS IN RESPONSE TO CRIMINAL FRAUD CONVICTION AGAINST NICKOLAS DONOVAN ELLIS

The Alberta Securities Commission (ASC) has issued an order permanently prohibiting Nickolas Donovan Ellis from participating in Alberta’s capital market after he was convicted in the Court of King’s...

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SEC
SEC ADOPTS REFORMS RELATING TO INVESTMENT ADVISERS OPERATING EXCLUSIVELY THROUGH THE INTERNET
March 28, 2024

The Securities and Exchange Commission adopted amendments to the rule permitting certain internet investment advisers to register...

Investment Executive
MARGIN CALL CLAIM MUST GO TO TRIAL
March 28, 2024

A discount broker’s lawsuit against former clients, alleging that they owe over $850,000 to the firm from failed margin calls, wi...

Investment Executive
FSRA FLAGS FEW ISSUES AT CREDENTIALING BODIES
March 28, 2024

The first reviews of the organizations that administer the credentials that qualify industry reps to use the financial advisor an...

Investment Executive
U.K. TRADER AT HEART OF RATE SCANDAL LOSES APPEAL
March 28, 2024

A British financial trader, who has been described as the ringleader in the manipulation of a key interest rate before and after ...

CIRO
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
March 27, 2024

Currently, investment dealer members are required to provide the “Making a Complaint” and “How Can I Get My Money Back” brochures...