Enforcement

Regulation

Ex-Wall Street trader convicted in spoofing case

December 9, 2022 James Langton
gold investment
Regulation

Former fund rep fined, banned for taking client’s money

December 9, 2022 James Langton
Regulation

Appeal Court upholds BCSC rulings

December 9, 2022 James Langton
Mining equipment: Bucketwheel reclaimer stock photo
Regulation

IIROC sanctions futures firm for supervisory failures

December 8, 2022 James Langton
Regulation

Bridging hearing slated for second half of 2023

December 7, 2022 James Langton
Regulation

BCSC bans fraudsters, orders $1.5M in sanctions

December 6, 2022 James Langton
Regulation

ASIC sanctions Vanguard for alleged greenwashing

December 2, 2022 James Langton
Retro woman wearing hat and smoking cigarette. 1930s classic portrait.
Regulation

FCA sanctions Swiss firm over corrupt dealings

November 30, 2022 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
Regulation

MX disciplines HSBC over electronic access

November 29, 2022 James Langton
Research and Markets

Fund managers heed the added risk of ESG: Fitch

November 29, 2022 James Langton
ESG concept
Regulation

Tribunal rejects bid to make Bridging evidence confidential

November 28, 2022 James Langton
Business lawyer team. Working together of lawyer in the meeting.
Regulation

Involved in misconduct, but still a whistleblower

November 28, 2022 James Langton
Businessman Blowing Whistle Isolated on White Background