Enforcement

Research and Markets

The rising price of bank misconduct

October 29, 2020 James Langton
Regulation

Public interest outweighs possible prejudice, IIROC panel rules

October 28, 2020 James Langton
Regulation

Day trader training scheme crossed the line: SEC

October 23, 2020 James Langton
Research and Markets

Fitch sanguine on Goldman’s 1MDB settlement

October 23, 2020 James Langton
Regulation

SEC tops US$100 million with whistleblower award

October 22, 2020 James Langton
Regulation

Got Kik? The SEC does

October 22, 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

Goldman Sachs pays US$2.9 billion in corruption case settlement

October 22, 2020 James Langton
Regulation

OSC extends CTO in crypto case

October 20, 2020 James Langton
Regulation

Senior abuse to bring stiffer sanctions

October 20, 2020 James Langton
Regulation

IIROC panel overstepped on sanctions, ASC finds

October 19, 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

MFDA panel fines, bans rep for syndicated mortgage misconduct

October 15, 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

Citi slapped over compliance, control failings

October 8, 2020 James Langton