Enforcement

Regulation

SPAC fraudsman gets three years in jail

April 28, 2023 James Langton
Regulation

CFTC fraud case results in record penalty

April 28, 2023 James Langton
Entrance to the U.S. Commodity Futures Trading Commission (CFTC) on their headquarters building in Washington; CFTC is an agency of the US government.
Regulation

BCSC to start handing out tickets

April 27, 2023 James Langton
Regulation

Priority, distribution issues dog Bridging proceeding

April 26, 2023 James Langton
Hands reaching out for pie
Industry

Swiss indict 2 managers of Saudi oil company in 1MDB scandal

April 25, 2023 The Associated Press
Regulation

BCSC panel penalizes investment fraud

April 19, 2023 James Langton
Judge's gavel
Regulation

Fraudster makes small dent in massive sanctions bill

April 19, 2023 James Langton
Bag of money changing hands
Regulation

SEC sanctions robo advisor for misstatements about tax-loss harvesting service

April 18, 2023 James Langton
A keyboard with a blue button - Robo Advisor
Regulation

Certain Bridging investors get priority, court rules

April 18, 2023 James Langton
Regulation

U.S. fund manager gets 15 years in fraud case

April 11, 2023 James Langton
Regulation

Court upholds OSC decision denying rep’s appeal

April 11, 2023 James Langton
Regulation

Robinhood sanctioned for 2020 outages

April 6, 2023 James Langton
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t