Enforcement

Regulation

Long-time fund rep banned, fined for loans from vulnerable clients

December 4, 2019 James Langton
Regulation

10 important compliance rules to review

November 28, 2019 Mark Burgess
Regulation

U.S. hedge fund exec gets jail time in US$100 million mismarking scheme

November 27, 2019 James Langton
Regulation

CFTC steps up its enforcement efforts in 2019

November 26, 2019 James Langton
Regulation

FCA bans sale of risky, complex vehicles to retail investors

November 26, 2019 James Langton
Regulation

Citi hit with record U.K. fine for regulatory reporting failures

November 26, 2019 James Langton
Regulation

U.K. broker pleads guilty to conspiring to evade FATCA

November 22, 2019 James Langton
Regulation

Court grants leave to appeal BCSC ruling in pump-and-dump case

November 22, 2019 James Langton
Regulation

FCA sanctions firm for closet indexing

November 20, 2019 James Langton
Regulation

Defending retail investors drove SEC enforcement in 2019

November 20, 2019 James Langton
Regulation

Hedge fund trader sentenced in mismarking case

November 19, 2019 James Langton
Regulation

ASC sanctions advisor who served clients with a suspended registration

November 19, 2019 James Langton