Firm failed to question numerous red flags about purported billion-dollar contracts, according to OSC settlement
Target of SEC enforcement can have access to frozen funds for appeal, court says
A second former Stifel Nicolaus trader settles with SRO
CSA issues new guidance, consults on possible future reforms to address AI advances
Regulator launches effort to enhance transparency of firms' dispute resolution efforts
Compliance sweep in 2022 found WealthBar wasn't meeting new standards
Rep had clients invest in, failed to disclose, his side hustles
Regulator responds to pushback on proposal to announce investigations
Regulator lays out plans for rule consultations with new regime due in 2026
Hedge fund traded on information about firm's pending block trades