Enforcement

Regulation

FCA takes action against fund manager

June 9, 2026 James Langton
Hand blocking and divide between man and woman wooden figure for resolving conflict
Regulation

Charity wins in investor class action

June 8, 2026 James Langton
Senior couple
Regulation

U.S. analyst charged with insider trading

June 8, 2026 James Langton
Move to low-cost investing takes toll on U.S. asset-management firms
Regulation

Fundco pays US$100M in cherry-picking case

June 5, 2026 James Langton
penalty card
Regulation

CFTC allows enforcement denials too

June 4, 2026 James Langton
Court settlement
Regulation

Enforcement pivot doesn’t justify revisit: SEC

June 4, 2026 James Langton
A creative woman asking a question at the office
Regulation

BCSC hands out first whistleblower award

June 3, 2026 The Canadian Press
Whistleblower
Regulation

SEC consults on new strat plan

June 3, 2026 James Langton
SEC
Regulation

Crypto-footie deals get red card from FCA

June 3, 2026 James Langton
penalty card
Regulation

U.S. advisor admits long-running fraud

June 3, 2026 James Langton
stealing money
Regulation

Payouts from failed hedge fund approved

June 2, 2026 James Langton
Court decision, Justice
Regulation

Faulty fax aside, tipster shares CFTC award

June 2, 2026 James Langton
whistle blower