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Keyword: Enforcement

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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

Court upholds $9 million in sanctions, disgorgement

Appeals of Tribunal's merits and sanctions decisions rejected

Judge looks at papers

Court rejects appeals from fund rep, OSC

Both sides appealed rulings involving rep inheriting client's estate

Sustainable investing

ASIC tackles greenwashing risks

Regulator details anti-greenwashing efforts, anticipates new disclosure demands

Judge looks at papers

CFTC sanctions benchmark manipulation

Swiss firm sold gas cheap to benefit short position, regulator alleges

Judge's gavel with magnifying glass on black.

Crypto lender settles with SEC

Interest-bearing accounts constituted securities, regulator alleged

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 fines Stifel Nicolaus $475K for failing to protect confidential info

Info was used to enter into short sale transactions without Stifel's knowledge

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