Enforcement

From the Regulators

FCA sanctions dividend arbitrage trading

February 18, 2025 James Langton
Judge's gavel
News

CFTC names new enforcement chief

February 17, 2025 James Langton
U.S. flag
News

Fake AI hedge fund manager admits fraud in U.S.

February 13, 2025 James Langton
stealing money
News

Crypto miners plead to U.S. fraud charges

February 13, 2025 James Langton
crypto currency regulation
News

FINTRAC sanctions securities dealer

February 13, 2025 James Langton
Fines graphic
From the Regulators

U.K. trader avoids U.S. insider trading charges

February 12, 2025 James Langton
compliance
From the Regulators

SEC relaxes audit trail requirements

February 12, 2025 James Langton
Illustration of a businessperson using a magnifying glass to examine files
From the Regulators

Investor class action against cannabis firm settled

February 10, 2025 James Langton
Court settlement
Research and Markets

Stable outlook for U.S. retail brokers: Moody’s

February 7, 2025 James Langton
Computer tapping
News

FCA to pay investors for complaint delays

February 6, 2025 James Langton
saving money
News

FSRA revokes licence of former life agent for misappropriating client funds

February 6, 2025 IE Staff
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