Enforcement

Regulation

Court asks for evidence of closet indexing

October 27, 2022 James Langton
Regulation

OSC, SEC settle with pot company

October 25, 2022 James Langton
Regulation

Bank played coy during financial crisis, FCA says

October 21, 2022 James Langton
A man in a suit walking up concrete steps.
Regulation

Crypto cases make up 20% of CFTC enforcement

October 20, 2022 James Langton
cryptoassets regulation
Regulation

National Bank Financial sanctioned for internal control failings

October 19, 2022 James Langton
Confused trader
Regulation

EU energy crisis sparks trading oversight task force

October 18, 2022 James Langton
Regulation

Former CannTrust leaders plead not guilty to securities offences

October 17, 2022 Tara Deschamps, The Canadian Press
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

OSC regulatory actions continue downward trend

October 14, 2022 Melissa Shin
rules and regulations
Regulation

Former mining CEO sanctioned for disclosure, trading violations

October 13, 2022 James Langton
Drilling, Sampling for an Excavation.
Regulation

BMO Nesbitt Burns sanctioned for oversight failures

October 13, 2022 James Langton
Regulation

OSC settles with unregistered crypto firm

October 13, 2022 James Langton
Regulation

CFD scheme promoters sanctioned

October 11, 2022 James Langton