Co-founder of cyberfraud prevention firm falsified financials, SEC says
The firm reported that clients had paid trailers on fee-based accounts
Rep sought halt of nine-month suspension, pending review of IIROC ruling
IIROC suggests electronic proceedings may continue post-pandemic
The regulator has ruled an enforcement case can go ahead online amid Covid-19
Regulators reward extensive ongoing assistance
Court-appointed receiver recovered enough assets to return 100% of investor funds
An individual has been spared from testifying following a “very technical” interpretation of the Ontario Securities Act
Regulator asks Opération Phoenix investors to contact investigators
Respondents to a poll favoured enhanced oversight and comprehensive SRO reform