Enforcement

Industry

FP Canada fielded 66 complaints, conducted 11 hearings in 2020

July 30, 2021 IE Staff
Business lawyer team. Working together of lawyer in the meeting.
Industry

RBC Dominion Securities fined $350K for supervisory failings

July 27, 2021 IE Staff
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

PwC denies report of potential Bridging Finance sale

July 23, 2021 James Langton
Regulation

Fight over Bridging Finance evidence brewing

July 22, 2021 James Langton
Regulation

SEC settles with UBS over use of volatility-linked product

July 19, 2021 James Langton
Regulation

Accountability board seeks to step up enforcement disclosure

July 19, 2021 James Langton
Regulation

Offshore firms pay $4 million for unregistered CFD trading

July 15, 2021 James Langton
Regulation

Regulators plead for more clarity on crypto rules

July 14, 2021 James Langton
gavel on a laptop
Regulation

SEC sanctions players in SPAC deal

July 13, 2021 James Langton
Regulation

Pension giant settles with SEC, New York AG

July 13, 2021 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

Rep sanctioned over needless DSC sale

July 12, 2021 James Langton
compliance
Regulation

Ex-Bridging Finance CEO seeks to upend OSC investigation

July 9, 2021 James Langton