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Ontario seeks to expand OSC sanctions spending

Proposal would allow enforcement money to be used for IT projects and new innovation office

FINRA names new enforcement chief

Long-time SRO employee tapped to head division

SEC sanctions firm over crypto hype

Robo-advisor violated rules when touting hypothetical performance

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

FSRA finalizes credit unions’ operational guidance

Regulator supports firms' efforts to address ESG risks

Venture firm CEO pleads guilty in pre-IPO scheme

Authorities allege investors were defrauded with false promise of lucrative private shares

UBS settles case over mortgage-backed securities in lead-up to financial crisis

Latest settlement brings penalties in DoJ cases to over US$36 billion

business man using magnifying glass to inspect documents

SEC sanctions U.K. auditor for faulty SPAC review

Company went public in a de-SPAC transaction following the audit

Bridging investor priority ruling faces appeals

Investors' reps challenge a ruling over who gets priority in an insolvency

B.C. court upholds ruling in advisor’s favour

Investor misunderstood difference between advisory and discretionary accounts, court found

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

Crypto platform settles SEC registration allegations

Firm tried to hide the fact that cryptoassets represented securities, regulator charged

time's up

CSA ruling helps T+1 push: CCMA

Regulators heed industry plea to push back trade-matching deadline

Bond counselling

FSRA details oversight for planner and advisor titles

Regulator sets supervisory priorities for credential providers

client meeting

Funds falling short on value for investors, U.K. regulator says

FCA says there's work to be done in terms of ensuring value and enhancing competition

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CSA to examine ETF sector

The review will determine whether reforms are needed in the fast-growing market

white house in washington dc

Biden issues executive order restricting U.S. investments in Chinese technology

Senior administration officials said the effort stemmed from national security goals rather than economic interests

  • By: Josh Boak
  • August 9, 2023 August 9, 2023
  • 16:48

BMO, Wall Street firms sanctioned for app violations

Regulators fined firms a total US$549 million for record-keeping failures

Flat Illustration concept customer rating on tablets

CIRO plans industry-wide client research project

SRO to expand former MFDA project to all dealers in 2024

Businessman Blowing Whistle Isolated on White Background

Seven tipsters share US$100-million reward

SEC orders massive award for tips that led to multiple enforcement actions

Judge looks at papers

Court rejects fine for trading ban breach

OSC sought fine but court ordered a suspended sentence

Couple behind US$4 billion crypto hack plead guilty

Pair pleads to money laundering charges in major crypto theft case

Old and new sign

New FCA regime good for clients, tough on firms

Margins, profits to be squeezed as consumer protections boosted

Blackboard rating

Most firms falling short in conflict compliance

Regulators found firms are failing to identify and manage conflicts in clients' best interests

Judge makes ruling

Court pauses rival series of trailer-fee lawsuits

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

Fraudster imprisoned

Adviser’s insider trading more extensive than SEC thought

Offshore stock trades came alongside previously-sanctioned options trades

Regulators say advisor awards based on production may mislead clients

The CSA and CIRO will consider such awards a compliance issue