Fraud – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 22 Nov 2024 22:46:58 +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 SEC reports record financial remedies https://www.investmentexecutive.com/news/from-the-regulators/sec-reports-record-financial-remedies/ Fri, 22 Nov 2024 22:46:58 +0000 https://www.investmentexecutive.com/?p=497326 Enforcement case volumes decline in fiscal 2024, agency says

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]]> Ex-CDPQ employees caught in U.S. corruption case https://www.investmentexecutive.com/news/from-the-regulators/ex-cdpq-employees-caught-in-u-s-corruption-case/ Fri, 22 Nov 2024 19:30:50 +0000 https://www.investmentexecutive.com/?p=497289 Charges involve alleged bribes paid for government contracts in India

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]]> IOSCO embarks on retail investor protection roadmap https://www.investmentexecutive.com/news/from-the-regulators/iosco-embarks-on-retail-investor-protection-roadmap/ Tue, 19 Nov 2024 22:31:22 +0000 https://www.investmentexecutive.com/?p=497016 Regulators' initiative targets emerging digital risks, broker conflicts

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]]> AI hedge fund manager duped investors, U.S. authorities allege https://www.investmentexecutive.com/news/from-the-regulators/ai-hedge-fund-manager-duped-investors-u-s-authorities-allege/ Tue, 19 Nov 2024 14:43:44 +0000 https://www.investmentexecutive.com/?p=496943 Fund's manager allegedly lied about its strategy, assets, performance

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]]> IOSCO seeks to bolster carbon markets https://www.investmentexecutive.com/news/from-the-regulators/iosco-seeks-to-bolster-carbon-markets/ Thu, 14 Nov 2024 20:45:05 +0000 https://www.investmentexecutive.com/?p=496769 Regulator issues report with recommendations for building safe, sound markets

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]]> FSB sounds alarm on AI risk https://www.investmentexecutive.com/news/from-the-regulators/fsb-sounds-alarm-on-ai-risk/ Thu, 14 Nov 2024 20:22:33 +0000 https://www.investmentexecutive.com/?p=496759 Growing AI adoption poses rising financial stability risks too, group warns

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]]> Failed U.S. bank’s investors to see some restitution https://www.investmentexecutive.com/news/from-the-regulators/failed-u-s-banks-investors-to-see-some-restitution/ Tue, 05 Nov 2024 17:31:10 +0000 https://www.investmentexecutive.com/?p=496059 CEO embezzled bank funds in crypto "pig butchering" scheme

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]]> Canadian pleads guilty in global pump-and-dump https://www.investmentexecutive.com/news/from-the-regulators/canadian-pleads-guilty-in-global-pump-and-dump/ Mon, 04 Nov 2024 22:06:28 +0000 https://www.investmentexecutive.com/?p=495999 Alleged mastermind to be sentenced in U.S. court next May

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]]> Pyramid schemer banned in OSC settlement https://www.investmentexecutive.com/news/from-the-regulators/pyramid-schemer-banned-in-osc-settlement/ Thu, 31 Oct 2024 16:51:00 +0000 https://www.investmentexecutive.com/?p=495808 Venture that led to conviction also violated securities rules, regulator says

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]]> Bridging execs engaged in fraud: tribunal https://www.investmentexecutive.com/news/from-the-regulators/bridging-execs-engaged-in-fraud-tribunal/ Tue, 29 Oct 2024 21:00:06 +0000 https://www.investmentexecutive.com/?p=495597 OSC proved most of its case against failed firm's founders, panel ruled

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