Regulator alleged U.K.-based firm violated prohibition on advice
Ontario regulator ordered a 10-year ban and monetary sanctions
An OSC hearing panel approves a settlement and says the sanctions represent a deterrent
After a warning from regulators in Australia, the platform allegedly shifted investors to its Cayman Islands affiliate
Four Cyprus-based firms can no longer sell contracts for difference to U.K. investors
The regulator introduced measures to protect retail investors from complex, high-risk products in 2018
Regulators say firms are using a number of methods to skirt the rules
Move aimed at protecting consumers from unsuitable investments
Regulator orders almost US$1 million in sanctions, disgorgement and restitution
Proposed rules aim to address the risks to retail investors from trading in complex derivative products