Enforcement

Regulation

MFDA panel bans rep, but sets modest fine

April 30, 2020 James Langton
Regulation

Regulatory task force to combat pandemic scams

April 28, 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

Firms strong-arming companies that need equity: FCA

April 28, 2020 James Langton
Regulation

OSC prolongs halt to in-person hearings

April 27, 2020 James Langton
Regulation

Laurentian Bank fined for inadequate trading supervision

April 24, 2020 IE Staff
Regulation

BCSC sanctions founders, companies in failed insurance venture

April 22, 2020 James Langton
Regulation

CFTC sponsors innovation contest

April 21, 2020 James Langton
Regulation

Former fund rep fined and banned

April 17, 2020 James Langton
Regulation

B.C. court denies bankruptcy discharge to securities-law violators

April 15, 2020 James Langton
Regulation

Traders settle SEC hacking case

April 9, 2020 James Langton
Regulation

SEC sanctions Cantor Fitzgerald for data failings

April 7, 2020 James Langton
Regulation

Rep fined, suspended for misconduct

April 7, 2020 James Langton