Enforcement | Investment Executive https://www.investmentexecutive.com/tag/enforcement/ Canada's news source for financial professionals Thu, 04 Dec 2025 19:14:27 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 Virtu sanctioned by SEC https://www.investmentexecutive.com/uncategorized/virtu-sanctioned-by-sec/ Thu, 04 Dec 2025 19:14:27 +0000 https://www.investmentexecutive.com/?p=526984 Regulator alleged firm failed to protect clients' trading data

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]]> Court rejects attempt to revive lawsuit against rep, RBC DS https://www.investmentexecutive.com/news/court-rejects-attempt-to-revive-lawsuit-against-rep-rbc-ds/ Wed, 03 Dec 2025 20:29:55 +0000 https://www.investmentexecutive.com/?p=526930 Investor tried to argue that rep's title misled the courts

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]]> Broker failed to supervise front-end fund sales: FINRA https://www.investmentexecutive.com/news/broker-failed-to-supervise-front-end-fund-sales-finra/ Wed, 03 Dec 2025 20:13:38 +0000 https://www.investmentexecutive.com/?p=526909 SRO alleged investors paid US$2 million in fees for short-term sales

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]]> Crypto fraud fight targets web, apps, social media https://www.investmentexecutive.com/news/crypto-fraud-fight-targets-web-apps-social-media/ Wed, 03 Dec 2025 19:51:43 +0000 https://www.investmentexecutive.com/?p=526925 Tech companies pulled into effort to tackle large scam operations

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]]> Edward Jones settles client overcharging case https://www.investmentexecutive.com/news/edward-jones-settles-client-overcharging-case/ Tue, 02 Dec 2025 20:41:51 +0000 https://www.investmentexecutive.com/?p=526775 Firm paid $4.6 million in client compensation, clawed back reps' fees

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]]> FCA sanctions standards setter for poor anti-money laundering oversight https://www.investmentexecutive.com/news/fca-sanctions-standards-setter-for-aml-oversight/ Tue, 02 Dec 2025 18:00:11 +0000 https://www.investmentexecutive.com/?p=526769 Regulator brings first enforcement action against a professional body

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]]> FINTRAC sanctions currency exchange https://www.investmentexecutive.com/news/fintrac-sanctions-currency-exchange/ Tue, 02 Dec 2025 17:25:16 +0000 https://www.investmentexecutive.com/?p=526764 Firm fined for series of violations uncovered in compliance exam

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]]> Court approves sale process in OSC receivership https://www.investmentexecutive.com/news/court-approves-sale-process-in-osc-receivership/ Mon, 01 Dec 2025 21:53:31 +0000 https://www.investmentexecutive.com/?p=526668 Receiver permitted to market assets, despite lack of enforcement allegations

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]]> Manitoba regulator upholds CIRO enforcement rulings https://www.investmentexecutive.com/news/manitoba-regulator-upholds-ciro-enforcement-rulings/ Fri, 28 Nov 2025 20:59:28 +0000 https://www.investmentexecutive.com/?p=526585 MSC finds no error with panel's findings against former fund rep

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]]> Trade, geopolitics loom large in OSC’s agenda https://www.investmentexecutive.com/news/trade-geopolitics-loom-large-in-oscs-agenda/ Fri, 28 Nov 2025 19:56:55 +0000 https://www.investmentexecutive.com/?p=526550 Regulator publishes draft priorities, highlighting competitive concerns

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