Ex-fund rep used online brokers with clients
Rep circumvented registration limits to trade wider range of securities
Canadian, Nigerian law enforcement secure some recovery in crypto scam
Target of SEC enforcement can have access to frozen funds for appeal, court says
Intent is relevant to sanctions, panel says, imposing permanent market ban
A second former Stifel Nicolaus trader settles with SRO
Group publishes first annual list of insurers that face global resolution standards
CSA issues new guidance, consults on possible future reforms to address AI advances
PwC's proposed approach to investor payouts faces a legal challenge
The firm and its founder were permanently banned, fined
A pair of major crypto cases drove monetary relief to record heights
Other issuers have until Dec. 31 to comply with the regulators' stablecoin rules
Trump nominates crypto advocate as next head of the SEC
President-elect Trump has made numerous public criticisms of the Fed, Powell
Level of concern declines alongside interest rates, CSA reports
Alexander Mashinsky admitted that he misled customers about the business
Report highlights calls for expanded mandate, increased transparency, accountability
Former wealth advisor accused of robbery, attempted murder, arson
Regulator launches effort to enhance transparency of firms' dispute resolution efforts
Given misconduct worth somewhere between $1.6 million and $94 million, BCSC panel takes a shot at valuing crypto disgorgement
Rep admitted to misappropriating money from investment and insurance clients
IOSCO's latest report examines the risks created by the age of demutualization
Proposals aim to boost investor protection around proprietary fund sales
Rep had clients invest in, failed to disclose, his side hustles
PwC proposes an interim $473 million payout to investors