Enforcement | Investment Executive https://www.investmentexecutive.com/tag/enforcement/ Canada's news source for financial professionals Thu, 18 Dec 2025 18:15:18 +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 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

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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]]> Rep’s misconduct shouldn’t be career ending: SRO https://www.investmentexecutive.com/news/from-the-regulators/reps-misconduct-shouldnt-be-career-ending-sro/ Mon, 15 Dec 2025 21:13:59 +0000 https://www.investmentexecutive.com/?p=527774 Breach not worthy of year-long suspension, CIRO panel finds

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]]> Fintech execs allegedly duped private equity firm https://www.investmentexecutive.com/news/from-the-regulators/fintech-execs-allegedly-duped-private-equity-firm/ Mon, 15 Dec 2025 14:27:44 +0000 https://www.investmentexecutive.com/?p=527683 U.S. authorities allege that execs raised US$20 million in venture funding

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]]> FCA fines lender £44m for anti-crime control failings https://www.investmentexecutive.com/news/from-the-regulators/fca-fines-lender-44m-for-anti-crime-control-failings/ Fri, 12 Dec 2025 19:19:22 +0000 https://www.investmentexecutive.com/?p=527673 Firm self-reported weaknesses in controls, beefed up compliance

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]]> Crypto mogul Do Kwon sentenced to 15 years in prison for US$40B stablecoin fraud https://www.investmentexecutive.com/news/from-the-regulators/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 Kwon pleaded guilty in August to fraud charges

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