Enforcement

From the Regulators

Fraud victim gets some restitution

December 9, 2024 James Langton
cryptocurrencies
From the Regulators

B.C. court upholds limitations on asset freezes

December 9, 2024 James Langton
Judge makes ruling
From the Regulators

ASC sanctions accountant’s fraud

December 6, 2024 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
From the Regulators

CIRO sanctions another ex-trader in disclosure case

December 6, 2024 James Langton
Judge looks at papers
News

Bridging investors’ recovery ruling delayed to 2025

December 5, 2024 James Langton
Hand stopping dominos
News

Tribunal sanctions Nova Tech crypto scheme

December 5, 2024 James Langton
Judge's gavel with magnifying glass on black.
News

CFTC boasts of record year for enforcement

December 5, 2024 James Langton
Man reads legal document carefully using magnifying glass
News

After attack on Hiroshima client, Nomura tightens controls

December 3, 2024 James Langton
News

Robo advisor sanctioned over CFR shortcomings

December 3, 2024 James Langton
News

The wild west of crypto enforcement

December 2, 2024 James Langton
Pile of cryptocurrency coins
News

Ex-fund rep fined, banned over theft

December 2, 2024 James Langton
MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules
News

Former fund rep sanctioned for SRO rule breaches

November 28, 2024 James Langton
whistleblower