Enforcement

Regulation

SEC returned US$794 million to harmed investors in fiscal 2018

November 5, 2018 James Langton
Regulation

MFDA fines Investia $100,000

November 2, 2018
Regulation

IIROC secures greater enforcement authority in Canada’s territories

November 2, 2018 James Langton
Regulation

BCSC permanently bans convicted fraudster from capital markets

November 2, 2018 IE Staff
Regulation

IIROC hearing to consider settlement with Raymond James

October 31, 2018 James Langton
Regulation

Revised MFDA sanction guidelines take effect Nov. 15

October 31, 2018 James Langton
Regulation

FAQ explains OSC tribunal procedures

October 30, 2018 James Langton
Regulation

Court orders hearing to decide issue of Ian Thow penalty

October 24, 2018 James Langton
Regulation

MFDA bans former Investia rep

October 23, 2018 James Langton
Regulation

OSC sanctions K2, executives for manipulative options trading

October 19, 2018 James Langton
Regulation

Repeat offender sentenced to jail

October 19, 2018 James Langton
Regulation

Former Winnipeg rep fined $100,000

October 16, 2018 James Langton