Enforcement

Regulation

There really is no such thing as a free lunch, even with online trading

December 17, 2020 James Langton
Shocked middle aged mature woman feeling stressed reading unbelievable online news, surprised senior old lady looking at laptop amazed by unexpected stuck computer problem sit on sofa at home (Shocked middle aged mature woman feeling stressed reading
Regulation

North American task force tackles pandemic scams

December 17, 2020 James Langton
Regulation

OSC alleges Bloomberg subsidiaries operated without registration or exemption

December 16, 2020 James Langton
Regulation

OSC stays SRO sanctions, pending review

December 16, 2020 James Langton
Regulation

SEC warns about rise in investment scams

December 15, 2020 James Langton
Metal handcuffs placed over the word fraud
Regulation

FCA slaps Barclays over poor treatment of struggling clients

December 15, 2020 James Langton
Regulation

Even auditors can get whistleblower awards once in a while

December 14, 2020 James Langton
business man using magnifying glass to inspect documents
Regulation

Court restores IIROC disciplinary decision

December 11, 2020 James Langton
Regulation

Fraudsman fails to evade BCSC disgorgement order

December 11, 2020 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

Avoiding insider trading on auto-pilot

December 10, 2020 James Langton
Regulation

FCA bans risky retail investments, warns tech firms

December 10, 2020 James Langton
Regulation

CFTC head, SEC enforcement chief to depart

December 10, 2020 James Langton