Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/post_company/securities-and-exchange-commission/ Canada's news source for financial professionals Thu, 09 Apr 2026 18:32:47 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/post_company/securities-and-exchange-commission/ 32 32 Ontario tribunal bans B.C. man under U.S. sanctions https://www.investmentexecutive.com/news/ontario-tribunal-bans-b-c-man-under-u-s-sanctions/ Thu, 09 Apr 2026 18:32:47 +0000 https://www.investmentexecutive.com/?p=535905 SEC alleged Canadian involved in penny stock pump-and-dump scheme

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]]> SEC names new enforcement chief https://www.investmentexecutive.com/news/sec-names-new-enforcement-chief/ Thu, 09 Apr 2026 14:31:22 +0000 https://www.investmentexecutive.com/?p=535875 Former SEC attorney, accountant to lead agency's enforcement shift

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]]> SEC sanctions FTX audit lead https://www.investmentexecutive.com/news/sec-sanctions-ftx-audit-lead/ Thu, 09 Apr 2026 14:27:47 +0000 https://www.investmentexecutive.com/?p=535872 Auditors failed to understand relationship between FTX, hedge fund: regulator

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]]> SEC enforcement drop is a feature, not a bug https://www.investmentexecutive.com/news/sec-enforcement-drop-is-a-feature-not-a-bug/ Wed, 08 Apr 2026 21:04:11 +0000 https://www.investmentexecutive.com/?p=535832 Agency details fundamental shift in approach to regulatory enforcement

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]]> U.S. advisor pleads guilty in US$160-million fraud https://www.investmentexecutive.com/news/from-the-regulators/u-s-advisor-pleads-guilty-in-us160-million-fraud/ Tue, 07 Apr 2026 19:18:37 +0000 https://www.investmentexecutive.com/?p=535623 Investors misled in risky, conflicted private equity funds, authorities alleged

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]]> Exec used ex-wife’s accounts for insider trading: SEC https://www.investmentexecutive.com/news/from-the-regulators/exec-used-ex-wifes-accounts-for-insider-trading-sec/ Thu, 02 Apr 2026 18:12:20 +0000 https://www.investmentexecutive.com/?p=535495 Regulator charges pair that separately pleaded guilty to criminal charges

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]]> Firm logged into accounts to approve fees: SEC https://www.investmentexecutive.com/news/from-the-regulators/firm-logged-into-accounts-to-approve-fees-sec/ Wed, 01 Apr 2026 18:32:06 +0000 https://www.investmentexecutive.com/?p=535386 U.S. advisory firm settles allegation that it levied undisclosed fees

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]]> FBI targets crypto wash trading https://www.investmentexecutive.com/news/from-the-regulators/fbi-targets-crypto-wash-trading/ Wed, 01 Apr 2026 18:27:33 +0000 https://www.investmentexecutive.com/?p=535391 Employees from four firms indicted for manipulative crypto trading

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]]> Second broker charged in insider trading scheme https://www.investmentexecutive.com/news/from-the-regulators/second-broker-charged-in-insider-trading-scheme/ Tue, 31 Mar 2026 18:09:21 +0000 https://www.investmentexecutive.com/?p=535290 Brokers allegedly traded on info stolen from girlfriend's laptop

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]]> SEC wraps case against fund Ponzi schemer https://www.investmentexecutive.com/news/sec-wraps-case-against-fund-ponzi-schemer/ Tue, 31 Mar 2026 15:23:52 +0000 https://www.investmentexecutive.com/?p=535229 Regulator concludes case against man serving 14 years for fraud

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