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Keyword: Enforcement

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penalty card

Rep lost money alongside clients in unapproved outside investment

Illustration of a businessperson using a magnifying glass to examine files

Betting events amounted to binary options, regulator alleges

Fraud

Ex-Morgan Stanley advisor pleaded guilty to fraud, other charges

Gavel and texts

Resolution avoids risk of litigation, insolvency, court finds

whistle blower

Bipartisan proposal would extend anti-retaliation protections, speed up award decisions

Chart showing ups and downs of stock market

In settlement with OSC, executive sanctioned for loss-making insider trading

Class action

Total value of investor settlements dip, as cases involve smaller issuers, SPACs

Fines graphic

Extreme stress in nickel markets led to trading outage in 2022

Greenwashing ESG

Fund held securities, including oilsands companies, that it said were screened out

Fraud

Scheme sought to manipulate the value of troubled WeWork shares