Bank failed in its dealings with customers facing financial distress
Regulators stress need for education as risks persist and investor interest grows
Monetary impact is immaterial, but bank's rep takes another hit
CIRO must get on with the enforcement proceeding, if that's what it intends to do
Challenger bank kept adding risky clients after review
Regulatory order breach results in fine, disgorgement and a new ban
Firm's lower fine reflects cooperation, remediation efforts, regulator says
Block trade in interlisted stock was executed off-exchange without regulatory approval
Barriers to providing information to regulators violate whistleblower protections, SEC alleges
Bank fined US$1.25 million over swaps reporting shortcomings