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BCSC sanctions second man in consulting sham

Abusive scheme exploited consultant exemption, regulator alleged

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FINTRAC faces cyber incident

Anti-money laundering agency takes systems offline as a precaution

Entrance to Financial Services Regulatory Authority of Ontario

FSRA to launch questionnaires on risk and business practices

Provincial regulator is attempting to identify hidden risks and set a baseline for business practices

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Investors misled on NFT deal, OSC alleges

Regulators say company issued misleading news ahead of private placements

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FCA finds failings in wholesale data markets

Regulator reluctant to intervene despite competition concerns

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FSRA pegs ‘stranded’ pension plans at more than $3 billion

Almost 200,000 pension plan members in Ontario have lost track of their plans, regulator says

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Closet indexing class action rejected — again

B.C. court dismisses case for a third time, citing confusing claim

Fraud

Ex-cop charged with investment fraud

Investors lost millions, U.S. authorities allege

AMF issues complaint handling rules

CIRO firms exempt from new standards for Quebec financial firms

Dog in court

Dog belongs to estate, court rules

Core issue is ownership of the dog, which is considered property

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

Rep admits to unapproved discretionary trades

Settlement includes disgorgement, penalty and suspension

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FCA promises faster, more transparent enforcement

U.K. regulator seeks to enhance deterrence, investor confidence

Digital illustration of Financial economic growth concept

Reforms for money market funds need work: FSB

Progress to address liquidity mismatch has been uneven, review finds

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Rep sanctioned for advising via Discord platform

Online posts amounted to securities-related business, CIRO panel found

Businessman Blowing Whistle Isolated on White Background

OSC awards tipster $1.5 million

Information expanded an investigation, helped protect investors

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CEO failed to report trades, BCSC alleges

No evidence that executive tried to hide insider trades

investment risk

FSB warns of lurking stability risks

International body says policymakers must guard against complacency amid multitude of threats

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

SEC beefs up personal trading rules

Financial sector funds now out of bounds for regulator's employees

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Remote working spawns insider-trading case

U.S. authorities allege man secretly traded after overhearing wife's M&A deal

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

Consultant sanctioned in private placement scheme

Bulk of funds issuers raised went to consultants that quickly dumped shares

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CSA issues guidance on virtual shareholder meetings

Shareholder advocates have argued they haven't been able to participate fully when AGMs are online

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OSC shines a light on “dark” arts of online investing

Investors face risks from sludge, nudges and other hidden tactics

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CIRO arms firms to face ransomware attacks

SRO publishes playbook for dealing with growing cyber threat

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

Disclosure failures violated best-interest rules: SEC

Broker failed to alert investors to cheaper investing channel, regulator alleges

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45 cents short, $96 in fees: Court approves TD insufficient fund fees settlement

The settlement will compensate customers who were double-charged a $48 fee