Enforcement | Investment Executive https://www.investmentexecutive.com/tag/enforcement/ Canada's news source for financial professionals Fri, 19 Dec 2025 20:39:38 +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 SEC sanctions Canadian over pump-and-dumps https://www.investmentexecutive.com/uncategorized/sec-sanctions-canadian-over-pump-and-dumps/ Fri, 19 Dec 2025 20:39:38 +0000 https://www.investmentexecutive.com/?p=528204 Accountant allegedly found assets used to lure investors to schemes

The post SEC sanctions Canadian over pump-and-dumps appeared first on Investment Executive.

]]> Executive banned in failed real estate scheme https://www.investmentexecutive.com/uncategorized/executive-banned-in-failed-real-estate-scheme/ Fri, 19 Dec 2025 19:56:40 +0000 https://www.investmentexecutive.com/?p=528215 OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation

The post Executive banned in failed real estate scheme appeared first on Investment Executive.

]]> SEC sanctions key figures in FTX scandal https://www.investmentexecutive.com/uncategorized/sec-sanctions-key-figures-in-ftx-scandal/ Fri, 19 Dec 2025 18:42:46 +0000 https://www.investmentexecutive.com/?p=528207 Execs that previously pleaded guilty in fraud case accept regulatory sanctions

The post SEC sanctions key figures in FTX scandal appeared first on Investment Executive.

]]> Corporate director convicted of insider trading https://www.investmentexecutive.com/uncategorized/corporate-director-convicted-of-insider-trading/ Fri, 19 Dec 2025 11:00:15 +0000 https://www.investmentexecutive.com/?p=528112 Director tipped others and traded ahead of pending acquisition

The post Corporate director convicted of insider trading appeared first on Investment Executive.

]]> Crypto platform sanctioned by FINTRAC https://www.investmentexecutive.com/uncategorized/crypto-platform-sanctioned-by-fintrac/ Thu, 18 Dec 2025 18:15:18 +0000 https://www.investmentexecutive.com/?p=528085 Firm failed to report attempted suspicious transactions

The post Crypto platform sanctioned by FINTRAC appeared first on Investment Executive.

]]> MX proposes changes to enforcement https://www.investmentexecutive.com/news/mx-proposes-changes-to-enforcement/ Thu, 18 Dec 2025 14:31:11 +0000 https://www.investmentexecutive.com/?p=528041 Exchange to drop "minor violation" process, add new remediation function

The post MX proposes changes to enforcement appeared first on Investment Executive.

]]> SEC alleges bitcoin miner duped investors https://www.investmentexecutive.com/news/sec-alleges-bitcoin-miner-duped-investors/ Thu, 18 Dec 2025 14:22:39 +0000 https://www.investmentexecutive.com/?p=528019 Scheme promised investors passive income from crypto mining: regulator

The post SEC alleges bitcoin miner duped investors appeared first on Investment Executive.

]]> CIRO settles with dealer for oversight lapse https://www.investmentexecutive.com/uncategorized/ciro-settles-with-dealer-for-oversight-lapse/ Wed, 17 Dec 2025 13:00:55 +0000 https://www.investmentexecutive.com/?p=527901 External provider stopped including CSE stocks in trading reports

The post CIRO settles with dealer for oversight lapse appeared first on Investment Executive.

]]> Private equity exec charged with fraud https://www.investmentexecutive.com/news/private-equity-exec-charged-with-fraud/ Tue, 16 Dec 2025 19:05:10 +0000 https://www.investmentexecutive.com/?p=527869 Investors falsely offered exposure to pre-IPO companies, U.S. authorities allege

The post Private equity exec charged with fraud appeared first on Investment Executive.

]]> Panel rejects CIRO case against reps, again https://www.investmentexecutive.com/news/from-the-regulators/panel-rejects-ciro-case-against-reps-again/ Tue, 16 Dec 2025 14:32:12 +0000 https://www.investmentexecutive.com/?p=527782 BCSC sent case back to SRO panel, which dismissed allegations

The post Panel rejects CIRO case against reps, again appeared first on Investment Executive.

]]>