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Gavel and Money - Canada stock photo

Man gets jail time for stealing nearly US$1M from investors

The man and his company were not registered to trade securities, BCSC says

Powell may use speech to hint at how fast the Fed could cut rates

The central bank is poised to cut its benchmark interest rate next month from its 23-year high

Business lawyer team. Working together of lawyer in the meeting.

Billionaire charged for using company to secure personal loans worth billions

Carl Icahn and Icahn Enterprises have agreed to pay $2M in total in penalties: SEC

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

CIRO alleges dealer filed RESP grants inadequately for 20 years

Settlement hearing with Royal Mutual Funds scheduled for Oct. 15

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

Alberta fraudster gets four years in jail

Sentencing followed long-running scheme that diverted more than $10.7 million of investor funds

gavel on a laptop

FCA fines PwC for failing to blow whistle

The sanction is the FCA's first penalty against an auditor

rules and regulations

TD, RBC sanctioned by U.S. regulators

Firms charged over unapproved off-channel communications

Fraud allure

Advisor ran US$300 million Ponzi scheme: SEC

Venture promised outsized returns it had no way of generating, regulators allege

Fair scale

Court upholds FSRA enforcement policy

Guidance on publishing allegations is reasonable, court finds

fake fact

FCA sanctions CFD firm for investor harm

Forex TB Ltd. took advantage of vulnerable retail investors, regulator alleged

Public statement

ASX misled market, ASIC alleges in lawsuit

Exchange overpromised, under-delivered on clearing system replacement

Bitcoin

FINRA sees deepening connections to crypto

Much of the industry's involvement may be outside the SRO's perimeter

SEC alleges crypto scheme was a Ponzi

NovaTech allegedly took more than US$650 million from investors globally

Crypto tipster gets US$1-million payout

Majority of tips, half of enforcement actions involve crypto, CFTC says

Court orders record recovery against FTX

Order demands US$12.7 billion in disgorgement, investor restitution

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

Fund rep fined, banned for client borrowing

Misconduct continued even when rep was under close supervision, CIRO says

Crypto compliance needs work: FCA

U.K. firms failing to meet new investor protection standards, review finds

Boardroom talk

BoC names experts to assess its review of pandemic policy actions

Internal review, external assessment slated to be published toward end of 2024

Frozen funds

FCA reaches deal for investors in frozen funds

Fund manager, H2O, agrees to provide €250 million to unitholders

Secret loan guarantee the basis of claim against Bridging fund: PwC

Receiver rejected company's $213-million claim against flagship fund

Pile of cryptocurrency coins

CSA orders crypto firms to start joining CIRO

Regulators call time on interim approach to onboarding crypto firms

British currency

FCA extends orphan asset regime to investments

Move could raise £880 million for social causes, U.K. regulator says

Fraud

U.S. private equity advisor convicted of fraud

Funds used investor capital to pay distributions

Picking a dollar

Repeat fraudster gets 12 months: ASC

Charges followed JSOT investigation into investment scheme

Trailer fee class action certified

RBC the latest large fund manager to face fund fee suit