This regulatory bulletin contains various enforcement orders, decisions, and administrative notices from the Ontario Securities Commission (OSC). Compliance professionals should review the specific orders involving investment managers and corporate entities to identify potential precedents for regulatory scrutiny.
The Securities and Exchange Commission (SEC) has approved a distribution plan to return funds to investors harmed by accounting misrepresentations at United Parcel Service, Inc. This action follows an earlier enforcement order regarding the company's failure to adhere to fair value accounting principles.
The Hong Kong Monetary Authority (HKMA) has announced the results for the 7-year RMB institutional Government Bonds tender. While the tender was oversubscribed with a bid-to-cover ratio of 4.81, only RMB $1.25 Billion of the RMB $6.010 Billion applied for was allotted.
The Bank of England has published its weekly report containing consolidated balance sheet data as of August 12, 2026. This update provides transparency regarding Sterling and foreign currency liabilities and assets, which is essential for monitoring central bank liquidity and market stability.
The Securities and Exchange Commission (SEC) has approved an unopposed motion by FINRA to extend the briefing schedule regarding an application for review filed by Brian Charles Kennedy. This administrative order delays the legal proceedings related to a Section 19(d) review of FINRA's prior actions.
The Securities and Exchange Commission (SEC) has approved the termination of the distribution fund related to an enforcement action against Equity Services, Inc. This order authorizes the transfer of all remaining or future unfeasible funds from the fund to the U.S. Treasury.
The Securities and Exchange Commission (SEC) has approved the final accounting and termination of the distribution fund related to a 2019 enforcement action against Blyth & Associates, Inc. This order concludes the administration of disgorgement and interest funds originally intended for investor restitution following disclosure failures.
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