Enforcement

Regulation

IIROC panel sanctions rep for KYC violations

January 10, 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

Crypto scams top regulators’ list of threats

January 10, 2022 James Langton
cryptocurrencies
Regulation

SEC alleges insider trading ahead of failed Aphria bid

January 7, 2022 James Langton
Regulation

IIROC bans, fines former advisor $1 million

January 6, 2022 James Langton
Industry

Court approves requests in Bridging case

December 23, 2021 IE Staff
Industry

Rep fined almost $1M for misappropriating client funds

December 21, 2021 Mark Burgess
Regulation

U.K. fraudsman gets Ontario jail time

December 17, 2021 James Langton
Regulation

Scotia Capital settles fee fumble case

December 17, 2021 James Langton
Regulation

Legal review coming for investigation orders

December 17, 2021 James Langton
Regulation

Collecting regulatory sanctions just got harder

December 17, 2021 James Langton
Regulation

Investors face huge losses in Bridging Finance case

December 16, 2021 James Langton
Modern office building close up in sunlight
Regulation

Ontario judge orders jail time for Securities Act violations

December 15, 2021 James Langton