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Keyword: Enforcement

2611 results found
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

Court settlement

Fractional investment firm platform triggered registration requirement

Regulation

Regulator alleges interference in firm's investigation into sexual harassment allegations

Fraud

Receiver won't take legal action against banks used in B.C. Ponzi scheme

Rule change

The change has positive implications for reps who get terminated for an enforcement investigation, Ellen Bessner says

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

Failed fund manager still owes $4.7-million receivable to funds

  • By: IE Staff
  • March 10, 2025 March 10, 2025
  • 17:07