Enforcement | Investment Executive https://www.investmentexecutive.com/tag/enforcement/ Canada's news source for financial professionals Thu, 09 Apr 2026 18:32:47 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Enforcement | Investment Executive https://www.investmentexecutive.com/tag/enforcement/ 32 32 Ontario tribunal bans B.C. man under U.S. sanctions https://www.investmentexecutive.com/news/ontario-tribunal-bans-b-c-man-under-u-s-sanctions/ Thu, 09 Apr 2026 18:32:47 +0000 https://www.investmentexecutive.com/?p=535905 SEC alleged Canadian involved in penny stock pump-and-dump scheme

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]]> Supreme Court denies leave for rep’s challenge https://www.investmentexecutive.com/news/supreme-court-denies-leave-for-reps-challenge/ Thu, 09 Apr 2026 16:38:33 +0000 https://www.investmentexecutive.com/?p=535878 BCSC enforcement hearing set to resume next month

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]]> SEC names new enforcement chief https://www.investmentexecutive.com/news/sec-names-new-enforcement-chief/ Thu, 09 Apr 2026 14:31:22 +0000 https://www.investmentexecutive.com/?p=535875 Former SEC attorney, accountant to lead agency's enforcement shift

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]]> SEC sanctions FTX audit lead https://www.investmentexecutive.com/news/sec-sanctions-ftx-audit-lead/ Thu, 09 Apr 2026 14:27:47 +0000 https://www.investmentexecutive.com/?p=535872 Auditors failed to understand relationship between FTX, hedge fund: regulator

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]]> Ex-advisor lands in jail for Ponzi scheme https://www.investmentexecutive.com/news/ex-advisor-lands-in-jail-for-ponzi-scheme/ Wed, 08 Apr 2026 21:07:36 +0000 https://www.investmentexecutive.com/?p=535837 Millions misappropriated over 20-year period

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]]> SEC enforcement drop is a feature, not a bug https://www.investmentexecutive.com/news/sec-enforcement-drop-is-a-feature-not-a-bug/ Wed, 08 Apr 2026 21:04:11 +0000 https://www.investmentexecutive.com/?p=535832 Agency details fundamental shift in approach to regulatory enforcement

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]]> ASIC steps up fight against AI-powered scams https://www.investmentexecutive.com/news/asic-steps-up-fight-against-ai-powered-scams/ Wed, 08 Apr 2026 20:54:57 +0000 https://www.investmentexecutive.com/?p=535826 Volume of scam website takedowns nearly doubled in 2025, regulator says

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]]> U.S. advisor pleads guilty in US$160-million fraud https://www.investmentexecutive.com/news/from-the-regulators/u-s-advisor-pleads-guilty-in-us160-million-fraud/ Tue, 07 Apr 2026 19:18:37 +0000 https://www.investmentexecutive.com/?p=535623 Investors misled in risky, conflicted private equity funds, authorities alleged

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]]> Supreme Court set to rule on ex-rep’s leave request https://www.investmentexecutive.com/news/from-the-regulators/supreme-court-set-to-rule-on-ex-reps-leave-request/ Mon, 06 Apr 2026 05:47:19 +0000 https://www.investmentexecutive.com/?p=535588 Ex-rep seeking to challenge constitutionality of BCSC records seizure

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]]> Tribunal bans absentee Ponzi schemer https://www.investmentexecutive.com/news/from-the-regulators/tribunal-bans-absentee-ponzi-schemer/ Fri, 03 Apr 2026 06:22:34 +0000 https://www.investmentexecutive.com/?p=535575 Fraudster sentenced in absentia after pleading guilty

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