Enforcement

News

Trio pleads guilty in US$500-million scheme

March 4, 2026 James Langton
Picking a dollar
News

Justice demands higher interest rate: court

March 4, 2026 James Langton
Canadian laws
News

Former broker charged in ‘free rider’ case

March 4, 2026 James Langton
Regulation
From the Regulators

FINRA launches consultation on arbitration

March 3, 2026 James Langton
Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo
From the Regulators

BCSC settles with director over alleged crypto fraud

March 2, 2026 James Langton
penalty card
From the Regulators

Class action against FSRA over PACE dismissed

March 2, 2026 James Langton
Court decision, Justice
From the Regulators

Vanguard settles U.S. states’ anti-ESG suit

February 27, 2026 James Langton
Coal Mining in West Virginia
From the Regulators

SEC settles IR guy’s false Buffett claim

February 26, 2026 James Langton
stressed businessman
From the Regulators

SEC sanctions firm’s pandemic loan pricing

February 26, 2026 James Langton
Court settlement
News

Crypto fund manager faces U.S. tax charges

February 25, 2026 James Langton
Man reads legal document carefully using magnifying glass
News

ASIC secures record penalties in second half of 2025

February 25, 2026 James Langton
figure-money-coins
News

BMO, ex-trader sanctioned in front-running case

February 25, 2026 James Langton
Fines graphic