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Keyword: Enforcement

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Gavel and legal books

Genus Capital Management will pay back $1.67 million to clients

Closeup of mallet being hit on stacked coins at table in courtroom

A panel said the firm failed to put client interests ahead of its own

usiness graph with arrow showing profits and gains

Settlements generate US$89 million in restitution

Judge gavel, scales of justice and law books in court

Defendant pleads guilty to his role in the scheme

High angle view of mallet eyeglasses legal book in courtroom

Woman was permanently banned and ordered to pay $2.24 million in 2017

High angle view of mallet eyeglasses legal book in courtroom

Firm agrees to repay fund manager clients US$25M and pay US$1.5M in penalties

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

Regulators say firms are using a number of methods to skirt the rules

Proposed changes aimed at simplifying CE regime are out for comment until Aug. 26

Stacked white books on rules and regulations

SRO clarifies what firms and individuals can do to earn credit for ‘extraordinary‘ cooperation

Gavel and judgement on desk

Applicant argued that an IIROC panel erred in its findings