Enforcement

Regulation

SEC imposes US$9.5 million penalty on Deutsche Bank Securities

October 13, 2016 James Langton
Regulation

Fund rep banned, fined over exempt-market losses

October 12, 2016 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager
Regulation

SEC files a record 868 enforcement actions in 2016

October 11, 2016 James Langton
Regulation

MFDA bans, fines advisor $155,000 for multiple infractions

October 7, 2016 Tessie Sanci
Regulation

Credit Suisse paying US$90-million penalty

October 5, 2016 James Langton
Regulation

Court sides with OSC, upholds advisor’s suspension

October 5, 2016 James Langton
Regulation

MFDA hearing panel bans, fines advisor $150,000

October 3, 2016 Tessie Sanci
Regulation

SEC fines UBS US$15 million for inadequate training

September 28, 2016 James Langton
Regulation

IIROC receives authority in PEI to enforce regulatory settlement

September 27, 2016 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager
Regulation

SEC charges Merrill Lynch with trading controls failures

September 26, 2016 James Langton
Regulation

B.C. court grants stay on fraud and theft charges against former advisor

September 20, 2016 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager
Regulation

Ernst & Young to pay US$9.3 million to settle SEC charges

September 19, 2016 James Langton