OSC seeks $37.5 million in Bridging sanctions
Regulator requests monetary penalties, disgorgement, costs and market bans
- By: James Langton
- April 29, 2025 July 10, 2025
- 16:11
Regulator requests monetary penalties, disgorgement, costs and market bans
Exec failed to disclose dealings, dealer ignored red flags, SRO alleged
Advisor faces a dozen charges, the majority related to alleged forged paperwork
Investors sold private structured products as part of a Ponzi scheme
Appeal of tribunal's rulings on merits, Charter issues, sanctions all rejected
U.K. body aims to drive growth by cutting firms' regulatory burdens
Regulators find certain funds are highly leveraged and complex
Company illegally distributed securities, misled investors, regulator alleged
Trade turmoil, policy uncertainty intensifying stability risks
U.S. authorities charge founder, claim platform was a Ponzi scheme
Regulators cite changing U.S. policy environment in halting work on disclosure rules
SEC pays tipster for info that spawned review, produced enforcement
Consultation examines risks, benefits of round-the-clock trading
Regulator seeks receiver for real estate investment venture
Regulators codify their approach to crypto funds in rules
International fraud involved 89 victims
Record AUM, higher revenues, margins to be hit if market stress persists
Central bank says it will focus on price stability and supporting economic growth as Canada faces global upheaval
U.K. regulator consults on changes to rules under new retail product regime
Regulator opens first foreign outposts to help firms navigate U.K. regime
Regulator blames insurers’ lack of internal controls
Effort to gain insight on dealers' clients will seek data from year-end 2026