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Rep fell for fraud scheme, sanctioned by SRO

Panel orders penalties for disgorgment and deterrence

Big data

SEC alleges advisers engaged in AI-washing

Firms allegedly made misleading statements about their use of AI in investing strategies

cryptocurrencies

SEC sanctions bankrupt crypto lender

Crypto lending program amounted to unregistered securities offering, regulator charged

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

FINRA fines firm over finfluencers

SRO brings first case following compliance review targeting firms' use of online influencers

evergrande

China fines Evergrande and bans chairman for life

Regulators are striving to reassure investors after Chinese markets slumped in the past year

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

CFRs, CE and cybersecurity among CIRO’s priorities for 2024

The SRO also updated its exam timeline for mutual fund dealers

penalty card

OEO dealer fined $2 million for violating CIRO rules

Firm offered recommendations in contravention of its registration as an order-execution-only dealer

  • By: IE Staff
  • March 12, 2024 March 12, 2024
  • 15:24

Boiler room broker gets five years in prison

Pump-and-dump scheme used high-pressure cold calls, targeted seniors

CIRO panel sanctions fund rep over conflicts

Serving as a client's executor totally incompatible with rep's role, panel says

ASC dismisses enforcement allegations

Regulator withdrew certain allegations, and a hearing panel rejected others

Judge looks at papers

Court rejects latest bid to derail OSC case against Edward Gong

Tribunal decisions aren't final until sanctions imposed, court says

Businessman Blowing Whistle Isolated on White Background

U.S. DOJ plans to pay whistleblower awards

Program aims to close gaps involving crimes that aren't cases for SEC, CFTC

Fed to reconsider proposed regulatory changes

Big banks say the so-called Basel III endgame changes would limit their ability to lend

ESG dividends

CSA expands ESG guidance for investment funds

Regulators seek to combat fund industry greenwashing risks

People icon

OSC sees executive suite shakeup

Personnel moves come ahead of agency's new strategic plan

SEC climate rules likely to land in court

Industry, environmental groups gearing up for legal fight over disclosure requirements

Robber captured

FCA flags anti-money laundering failures

Regulator outlines array of weaknesses in firms' anti-crime controls

Judge's gavel with magnifying glass on black.

Court green-lights funding for bank class actions

Four banks face lawsuits over duplicate NSF fees

BCSC sanctions second man in consulting sham

Abusive scheme exploited consultant exemption, regulator alleged

FINTRAC faces cyber incident

Anti-money laundering agency takes systems offline as a precaution

Entrance to Financial Services Regulatory Authority of Ontario

FSRA to launch questionnaires on risk and business practices

Provincial regulator is attempting to identify hidden risks and set a baseline for business practices

Judge's gavel with magnifying glass on black.

Investors misled on NFT deal, OSC alleges

Regulators say company issued misleading news ahead of private placements

surrounded pound

FCA finds failings in wholesale data markets

Regulator reluctant to intervene despite competition concerns

Hand putting Coins in glass jar with retro alarm clock for time to money saving for retirement

FSRA pegs ‘stranded’ pension plans at more than $3 billion

Almost 200,000 pension plan members in Ontario have lost track of their plans, regulator says

Closet indexing class action rejected — again

B.C. court dismisses case for a third time, citing confusing claim