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Keyword: Enforcement

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A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

CFTC brings first carbon market fraud case

Company allegedly overstated impact of its work to obtain unwarranted carbon offset credits

calendar court

Justice delayed, not quite justice denied, panel says

CIRO must get on with the enforcement proceeding, if that's what it intends to do

Collage of british pounds

FCA sanctions U.K. bank for weak anti-crime controls

Challenger bank kept adding risky clients after review

Judge looks at papers

Tribunal bans former Bay Street exec, again

Regulatory order breach results in fine, disgorgement and a new ban

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

CFTC sanctions Barclays’ swaps reporting

Firm's lower fine reflects cooperation, remediation efforts, regulator says

Rules and regulations

LIBOR finally put to rest

Synthetic settings cease, marking last step in major benchmark reform

Judge's gavel with magnifying glass on black.

TD failed to oversee Treasuries trader: U.S. regulators

Trader engaged in widespread spoofing, authorities alleged

Gavel and Money - Canada stock photo

RBC DS sanctioned for trading rule breach

Block trade in interlisted stock was executed off-exchange without regulatory approval

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Man convicted in the U.K.’s first crypto ATM case

Unregistered network enabled possible tax evasion, money laundering, regulator says

Judge's gavel with magnifying glass on black.

BCSC settles insider trading case

Man agrees to pay trading profits plus 50% to regulator