Enforcement

Regulation

Venard Gaudet fined and sentenced to one year of probation

August 26, 2016 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager
Regulation

SEC sanctions 13 firms for spreading false information

August 25, 2016 James Langton
Regulation

Two sentenced in hospital privacy breach case involving improper referral arrangement

August 24, 2016 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager
Regulation

BCSC panel permanently bans B.C. man

August 16, 2016 James Langton
Greater engagement with indigenous communities needed: SHARE
Industry

OBSI names and shames Sentinel for not compensating a client

August 9, 2016 James Langton
Regulation

B.C. rep loses licence over past conviction

August 8, 2016 James Langton
Industry

Barclays to pay US$100 million in LIBOR settlement

August 8, 2016 James Langton
Regulation

Deutsche Bank sanctioned over failure to supervise squawk boxes

August 8, 2016 James Langton
Regulation

Barclays fined over back-office issues

August 4, 2016 James Langton
Regulation

FINRA sanctions Barclays for deficiencies in reporting audit trail data

August 3, 2016 James Langton
Industry

Fed sanctions Goldman Sachs for disclosing confidential information

August 3, 2016 James Langton
Industry

U.S. trader pleads guilty in to trading on non-public information

August 3, 2016 James Langton