Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged
Regulator settles for less disgorgement than usual, given inability to pay
The group will support the force's Integrated Market Enforcement Team efforts
Judge hands down sentence in insider trading case brought in 2015
Ruling follows changes in 2023 to province's pension act
Firm failed to fully investigate potentially manipulative trading by an ex-employee
Regulator found bank accounts frozen during an investigation had been depleted
Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs
Firms failed to ensure that investors got fund fee rebates, waivers
Bill Hwang sentenced over hedge fund collapse that torched Wall Street