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Conflicted graph

U.S. authorities allege trade secrets stolen to help start rival firm

Gavel and texts

Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged

Regulation

Regulator settles for less disgorgement than usual, given inability to pay

Magnifying glass on documents

The group will support the force's Integrated Market Enforcement Team efforts

  • By: IE Staff
  • January 8, 2025 January 9, 2025
  • 12:01
jail bars

Judge hands down sentence in insider trading case brought in 2015

The Victoria government building beside an aboriginal totem pole.

Ruling follows changes in 2023 to province's pension act

  • By: IE Staff
  • December 27, 2024 December 27, 2024
  • 15:28
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

Firm failed to fully investigate potentially manipulative trading by an ex-employee

Gavel and Money - Canada stock photo

Regulator found bank accounts frozen during an investigation had been depleted

fraud

Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

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

Firms failed to ensure that investors got fund fee rebates, waivers