Enforcement

From the Regulators

MX finds BMO Nesbitt Burns engaged in front running

November 3, 2025 James Langton
Business lawyer team. Working together of lawyer in the meeting.
From the Regulators

Reps’ court-side seats breach gift limits: FINRA

November 3, 2025 James Langton
Regulation
News

FCA warns investors against claiming ‘professional’ status

October 30, 2025 James Langton
investor protection
Industry News

FCA prosecutes boiler room data breach

October 30, 2025 James Langton
Phone text
From the Regulators

Woman sanctioned for insider trading

October 27, 2025 James Langton
Canadian laws
From the Regulators

Trailer fee class actions allowed to proceed

October 24, 2025 James Langton
Canadian laws
Industry News

Financial planner loses certification over discriminatory social media posts

October 24, 2025 Michelle Schriver
Phone text
From the Regulators

Crypto platform not liable for scam victim’s losses

October 23, 2025 James Langton
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
News

BCSC settles with pair over unregistered activity

October 22, 2025 James Langton
Judgment fine
From the Regulators

FCA gets beefed up anti-crime duties

October 21, 2025 James Langton
Robber captured
From the Regulators

Auditors, lawyers not liable for payday lender’s collapse

October 20, 2025 James Langton
Judge makes ruling
From the Regulators

Court freezes funds tied to alleged fraud scheme

October 20, 2025 James Langton
calendar court