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Keyword: Enforcement

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handshaking and exchanging contract documents

OBSI-IIROC info sharing worries IIAC

The relationship with IIROC may change how firms approach OBSI inquiries, a letter says

Whistleblower

Whistleblowers share US$260,000 award

Three victims of fraud notified SEC of scheme targeting retail investors

Block letters spelling fraud, with magnifying glass

ASC panel bans, fines Ponzi schemers

An individual and a firm must pay almost $2.75M

gavel

Fund rep banned for thwarting MFDA investigation

The former rep was being investigated for allegedly liquidating his father's investment accounts

gavel

SEC, AMF seek restitution for ICO investors

Firm and its founders ordered to pay US$6.9 million

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Record settlement in CFTC spoofing case

Tower Research Capital will pay US$67.4 million

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

U.S. firms to pay back overcharged clients, FINRA says

Firms allegedly charged excess fees on education savings plans

gavel

Enforcement action, sanctions surge in 2019, SEC reports

The increases came in spite of the U.S. federal government shutdown

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

IIROC settles trading violation case with RBC, Scotia and TD

The banks participated in a deal to help sell off Royal Dutch Shell plc's 8% stake in Canadian Natural Resources Ltd.

Whistleblower

Investors can be whistleblowers too, SEC says

A sports auction site allegedly required investors to sign an agreement stating they would not report violations to the SEC