Home Enforcement

Keyword: Enforcement

1992 results found
gavel

The company operated an unregistered securities platform and brokerage service, the U.S. regulator says

Financial Services Regulatory Authority of Ontario logo

New agent allegedly split commissions with ex-agent, churned those clients

Judge gavel, scales of justice and law books in court

The man was also ordered to pay more than $2 million in restitution to victims

Focus on Mutual Funds Special Report

Conflict of interest concerns spark regulators' review

Painting pollution green with a highlighter

The risk of misleading disclosure pervades sustainable product lineups, European regulators say

A man removing interlocking pieces from a large stack

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

notepad, laptop and coffee cup on wood table

As data transfer lags, launch date is pushed back

Fines graphic

SRO ordered US$48.1 million in monetary penslties in 2022

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

Most of the investors' money was put into riskier projects than promised

Businessmen trading stock looking at graphs indexes and numbers on multiple computer screens

Market manipulation scheme run on Discord channel, regulator says