Enforcement

Regulation

SEC pays tipsters US$3 million for reporting retail investor abuse

June 3, 2019 James Langton
Regulation

Former rep gets four-year trading ban for high closing

June 3, 2019 James Langton
Regulation

OSC, AMF join global regulators in enhanced enforcement deal

May 30, 2019 James Langton
Regulation

FCA bans broker acquitted on LIBOR charges

May 29, 2019 James Langton
Regulation

Former CFO fined, banned after admitting to accounting failures

May 28, 2019 James Langton
Regulation

FX trading scheme leads to fine, ban

May 27, 2019 James Langton
Regulation

Quebec court upholds $285,000 in fines for illegal brokerage activity

May 24, 2019 IE Staff
Regulation

BCSC wins bid to enforce disgorgement order in U.S. court

May 22, 2019 James Langton
Regulation

OSC settles allegations of trading misconduct

May 21, 2019 James Langton
Regulation

U.S. regulators halt alleged Ponzi scheme

May 21, 2019 James Langton
Regulation

Crypto, forex fraud flourishing, FCA reports

May 21, 2019 James Langton
Ellen Bessner

If the regulator or SRO comes knocking, answer the door

May 17, 2019 Ellen Bessner