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287 results found

Court orders record recovery against FTX

Order demands US$12.7 billion in disgorgement, investor restitution

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

Fund rep fined, banned for client borrowing

Misconduct continued even when rep was under close supervision, CIRO says

Pile of cryptocurrency coins

CSA orders crypto firms to start joining CIRO

Regulators call time on interim approach to onboarding crypto firms

CIRO to drop Gravitas

Firm winding down after running into capital trouble

buying insurance on a cell phone

Ontario proposes new MGA regulation

New regime aims to enhance consumer protection, set industry standards

Regulation

OSC’s compliance work escalates

Risky firms, crypto platforms add to compliance division's workload

Large dealers embrace remote exams: FINRA

Organization launches pilot program to allow remote supervision

Crypto coins

Europe consults on crypto classification

Consultation seeks common approach to applying new crypto rules

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

Hedge fund fraudster sentenced in absentia

OSC to seek warrant for Yonge Street Capital LLC co-founder

Rep refused registration for concealing criminal charge

Failing to reveal impaired driving incident leads to denial