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Keyword: Enforcement

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U.S. judge sanctions first smart contract hacker

online investing

Broker conflicts, finfluencers, gamification among regulators' priorities

Clients lost more than $1.5 million on rep's failed fintech venture

BCSC returns nearly $40,000 to investors who lost much more

Settlement includes 20-year market bans, monetary sanctions

Firm failed to adequately oversee rep's risky trading strategy, CIRO says

Entrance to Financial Services Regulatory Authority of Ontario

Regulator suspends firm and agents amid alleged misconduct

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

Terms of firm's sale weren't fully disclosed to regulators

OneCoin scheme took in over US$4 billion from investors, U.S. authorities allege

Off-channel communications hamper regulatory oversight