The scheme uses the fund company's logo, and falsely claims FCAC and CDIC protection
The SEC alleged an undisclosed control feature led to stale index reporting
Company viewed increased U.S. enforcement against banks as a business opportunity, the DoJ said
A hearing panel ordered a fine, costs and a market ban, but not disgorgement
The firm claims to be licensed by a regulator that doesn't exist
Account takeover attempts are on the rise, FINRA warns
Improper personal financial dealings and a failure to cooperate led to the sanctions
Fund manager sought to influence bidding in Neiman Marcus bankruptcy
The regulator has asked for extension to Aug. 12 while its investigation continues
The OSC advisory group is facing a long list of investor issues