Enforcement – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 12 Dec 2025 19:19:22 +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 32 32 FCA fines lender £44m for anti-crime control failings https://www.investmentexecutive.com/uncategorized/fca-fines-lender-44m-for-anti-crime-control-failings/ Fri, 12 Dec 2025 19:19:22 +0000 https://www.investmentexecutive.com/?p=527673 Crypto mogul Do Kwon sentenced to 15 years in prison for US$40B stablecoin fraud https://www.investmentexecutive.com/news/crypto-mogul-do-kwon-sentenced-to-15-years-in-prison-for-us40b-stablecoin-fraud/ Thu, 11 Dec 2025 20:54:29 +0000 https://www.investmentexecutive.com/?p=527603 FINTRAC seeks sanctions on money transfer firm https://www.investmentexecutive.com/news/fintrac-seeks-sanctions-on-money-transfer-firm/ Thu, 11 Dec 2025 19:37:45 +0000 https://www.investmentexecutive.com/?p=527560 CSA, CIRO launch scam website takedown https://www.investmentexecutive.com/news/csa-ciro-launch-scam-website-takedown/ Thu, 11 Dec 2025 19:23:58 +0000 https://www.investmentexecutive.com/?p=527553 FSRA revokes licence of insurance agent for allegedly misappropriating $700K from church members https://www.investmentexecutive.com/news/fsra-revokes-licence-of-insurance-agent-for-allegedly-misappropriating-700k-from-church-members/ Thu, 11 Dec 2025 18:13:43 +0000 https://www.investmentexecutive.com/?p=527462 U.S. charges Canadian in alleged crypto Ponzi scheme https://www.investmentexecutive.com/news/u-s-charges-canadian-in-alleged-crypto-ponzi-scheme/ Wed, 10 Dec 2025 22:19:12 +0000 https://www.investmentexecutive.com/?p=527453 SEC supports lifting constraints on equity research https://www.investmentexecutive.com/news/sec-supports-lifting-constraints-on-equity-research/ Mon, 08 Dec 2025 20:21:38 +0000 https://www.investmentexecutive.com/?p=527239 Canada’s crypto tax crackdown reaps millions — but no criminal charges yet https://www.investmentexecutive.com/news/canadas-crypto-tax-crackdown-reaps-millions-but-no-criminal-charges-yet/ Mon, 08 Dec 2025 15:36:51 +0000 https://www.investmentexecutive.com/?p=527208 Rep sanctioned in SEC fraud case https://www.investmentexecutive.com/uncategorized/rep-sanctioned-in-sec-fraud-case/ Fri, 05 Dec 2025 11:00:09 +0000 https://www.investmentexecutive.com/?p=527052 Virtu sanctioned by SEC https://www.investmentexecutive.com/news/virtu-sanctioned-by-sec/ Thu, 04 Dec 2025 19:14:27 +0000 https://www.investmentexecutive.com/?p=526984