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Keyword: Enforcement

2611 results found
social media

U.K. regulator conducting criminal inquiries, issuing investor alerts

ESG investing

Third-party data didn't screen all energy, tobacco stocks, regulator says

Class action

Court rules no evidence of common breach, given differences among investors

Inspecting papers

Exam division details compliance priorities for year ahead

investor restitution challenges

Self-regulatory organization consults on proposed disgorgement distribution policy

Alberta flag

Move from hourly to flat rate will improve transparency, efficiency: regulator

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

Authorities allege SIM swap enabled access to regulator's social media account

bitcoin investment concept on screen

European regulators press for external audit requirements in new crypto rules

ponzi scheme

Court issues asset freeze, sets hearing for end of October

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

Court rejects appeal of finding that firm could be prejudiced by settlement