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Keyword: Enforcement

2611 results found
Robber captured

U.S. bank examiner admits insider trading

Fed regulator made US$771,678 trading on inside information about banks

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IOSCO embarks on retail investor protection roadmap

Regulators' initiative targets emerging digital risks, broker conflicts

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

AI hedge fund manager duped investors, U.S. authorities allege

Fund's manager allegedly lied about its strategy, assets, performance

Gavel and texts

Court rules BCSC panel’s process was unfair

Target of insider trading case was prevented from airing abuse of process claims, court says

Bitcoin

Bitfinex hacker gets prison time

Husband, wife sentenced on money laundering conspiracy charges

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 sanctions supervisory lapses at Desjardins

Firm failed to oversee trading activity by a couple of its reps

Walking against the wind

Fund managers shake off headwinds: Fitch

Firms strong enough to face down weak flows, growing margin pressure

Fines graphic

The perils of automating anti-money laundering controls

U.K.'s FCA fines bank over faulty automated transaction surveillance system

Collage of british pounds

FCA to revise its approach to enforcement disclosure

Regulator commits to reform after judicial rebuke

Greenwashing ESG

Invesco settles SEC greenwashing charges

Regulator alleges firm overstated the extent of funds' ESG integration