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penalty card

Ex-fund rep used online brokers with clients

Rep circumvented registration limits to trade wider range of securities

cryptocurrencies

Fraud victim gets some restitution

Canadian, Nigerian law enforcement secure some recovery in crypto scam

Judge makes ruling

B.C. court upholds limitations on asset freezes

Target of SEC enforcement can have access to frozen funds for appeal, court says

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

ASC sanctions accountant’s fraud

Intent is relevant to sanctions, panel says, imposing permanent market ban

Judge looks at papers

CIRO sanctions another ex-trader in disclosure case

A second former Stifel Nicolaus trader settles with SRO

hospital

FSB details resolution planning progress

Group publishes first annual list of insurers that face global resolution standards

AI computer

Regulators rule out discretionary AI trading, for now

CSA issues new guidance, consults on possible future reforms to address AI advances

Hand stopping dominos

Bridging investors’ recovery ruling delayed to 2025

PwC's proposed approach to investor payouts faces a legal challenge

Judge's gavel with magnifying glass on black.

Tribunal sanctions Nova Tech crypto scheme

The firm and its founder were permanently banned, fined

Man reads legal document carefully using magnifying glass

CFTC boasts of record year for enforcement

A pair of major crypto cases drove monetary relief to record heights

Crypto currency

First stablecoin to meet CSA’s standards

Other issuers have until Dec. 31 to comply with the regulators' stablecoin rules

announcement

Ex-SEC commissioner tapped to lead agency

Trump nominates crypto advocate as next head of the SEC

Federal Reserve

Powell: Fed’s independence from politics is vital

President-elect Trump has made numerous public criticisms of the Fed, Powell

Fraud

Securities industry’s systemic risk worries ease

Level of concern declines alongside interest rates, CSA reports

Crypto currency

Founder of failed global crypto lending platform pleads guilty to fraud charges

Alexander Mashinsky admitted that he misled customers about the business

Bank of Canada

Senate committee ponders monetary policy reforms

Report highlights calls for expanded mandate, increased transparency, accountability

After attack on Hiroshima client, Nomura tightens controls

Former wealth advisor accused of robbery, attempted murder, arson

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC reports on industry complaint handling

Regulator launches effort to enhance transparency of firms' dispute resolution efforts

Robo advisor sanctioned over CFR shortcomings

Compliance sweep in 2022 found WealthBar wasn't meeting new standards

Pile of cryptocurrency coins

The wild west of crypto enforcement

Given misconduct worth somewhere between $1.6 million and $94 million, BCSC panel takes a shot at valuing crypto disgorgement

MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules

Ex-fund rep fined, banned over theft

Rep admitted to misappropriating money from investment and insurance clients

The evolution of trading poses regulatory challenges

IOSCO's latest report examines the risks created by the age of demutualization

U.S. efforts to undo regulatory reforms likely to be limited: Russell

CSA seeks sales practices reforms

Proposals aim to boost investor protection around proprietary fund sales

whistleblower

Former fund rep sanctioned for SRO rule breaches

Rep had clients invest in, failed to disclose, his side hustles

Banks on money pile

Bridging investors may finally see some money

PwC proposes an interim $473 million payout to investors