Fraud – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 21:53:40 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Fraud – Investment Executive https://www.investmentexecutive.com 32 32 Tribunal sets sanctions in record crypto fraud https://www.investmentexecutive.com/news/from-the-regulators/tribunal-sets-sanctions-in-record-crypto-fraud/ Fri, 20 Dec 2024 21:53:40 +0000 https://www.investmentexecutive.com/?p=499080 Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

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]]> Archegos founder gets 18-year sentence in the U.S. https://www.investmentexecutive.com/news/from-the-regulators/archegos-founder-gets-18-year-sentence-in-the-u-s/ Fri, 20 Dec 2024 18:03:32 +0000 https://www.investmentexecutive.com/?p=499049 Bill Hwang sentenced over hedge fund collapse that torched Wall Street

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]]> Pair behind US$100 million deli plead guilty https://www.investmentexecutive.com/news/from-the-regulators/pair-behind-us100-million-deli-plead-guilty/ Fri, 20 Dec 2024 14:36:27 +0000 https://www.investmentexecutive.com/?p=498983 Father, son duo plead guilty to securities fraud, conspiracy charges

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]]> Bitcoin surge benefits fraud victims in the U.S. https://www.investmentexecutive.com/news/from-the-regulators/bitcoin-surge-benefits-fraud-victims-in-the-u-s/ Tue, 17 Dec 2024 19:07:37 +0000 https://www.investmentexecutive.com/?p=498731 Victims poised to get all their money back after value of crypto seized by U.S. authorities soars

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]]> FCA launches crypto regime consultation https://www.investmentexecutive.com/news/from-the-regulators/fca-launches-crypto-regime-consultation/ Mon, 16 Dec 2024 19:28:16 +0000 https://www.investmentexecutive.com/?p=498631 Regulator issues first in a planned series of discussion papers on crypto rules

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]]> BCSC sanctions woman in Chinese student scam https://www.investmentexecutive.com/news/from-the-regulators/bcsc-sanctions-woman-in-chinese-student-scam/ Fri, 13 Dec 2024 22:25:30 +0000 https://www.investmentexecutive.com/?p=498572 Panel orders $3.3 million in penalty, disgorgement

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]]> ASC issues permanent ban on man who promoted fake legal services startup https://www.investmentexecutive.com/news/from-the-regulators/asc-issues-permanent-ban-on-man-who-promoted-fake-legal-services-startup/ Fri, 13 Dec 2024 20:52:26 +0000 https://www.investmentexecutive.com/?p=498538 Alberta man stole more than $500,000 from vulnerable investors

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]]> Fired CEO’s bid to turn lemons into lemonade illegal: SEC https://www.investmentexecutive.com/news/from-the-regulators/fired-ceos-bid-to-turn-lemons-into-lemonade-illegal-sec/ Thu, 12 Dec 2024 18:12:03 +0000 https://www.investmentexecutive.com/?p=498457 CEO faces insider trading charges for selling company's stock based on advance knowledge of its negative earnings, and his own firing

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]]> Nigerian scammers impersonating legit advisors: SEC https://www.investmentexecutive.com/news/from-the-regulators/nigerian-scammers-impersonating-legit-advisors-sec/ Wed, 11 Dec 2024 21:36:39 +0000 https://www.investmentexecutive.com/?p=498396 U.S. authorities allege that men primarily posed as female advisors

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]]> Research finds paying whistleblowers works https://www.investmentexecutive.com/news/from-the-regulators/research-finds-paying-whistleblowers-works/ Wed, 11 Dec 2024 11:41:55 +0000 https://www.investmentexecutive.com/?p=498308 Programs in U.S. and Canada have proven effective at detecting, deterring financial crime

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