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Keyword: Enforcement

2611 results found
Frozen funds

FCA reaches deal for investors in frozen funds

Fund manager, H2O, agrees to provide €250 million to unitholders

Fraud

U.S. private equity advisor convicted of fraud

Funds used investor capital to pay distributions

Picking a dollar

Repeat fraudster gets 12 months: ASC

Charges followed JSOT investigation into investment scheme

BCSC calls on Parliament to fix enforcement gap

New SCC ruling allows fraudsters to escape regulatory penalties via bankruptcy

Judge looks at papers

U.S. securities class action filings rise

Crypto claims decline, AI-related cases on the rise

FINTRAC sanctions Montreal wealth manager

Compliance review found violations of anti-money laundering rules

Judge looks at papers

Supreme Court curbs regulators’ enforcement power

Regulators' penalties don't survive bankruptcy, but disgorgement orders do, court finds

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

SEC charges crypto platform founder

Platform claimed to be decentralized, authorities allege

CIRO to drop Gravitas

Firm winding down after running into capital trouble

Regulation

OSC’s compliance work escalates

Risky firms, crypto platforms add to compliance division's workload