Enforcement

From the Regulators

CFTC sanctions benchmark manipulation

August 27, 2024 James Langton
Judge looks at papers
From the Regulators

Crypto lender settles with SEC

August 27, 2024 James Langton
Judge's gavel with magnifying glass on black.
News

CIRO fines Stifel Nicolaus $475K for failing to protect confidential info

August 23, 2024 Melissa Shin
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 alleges dealer filed RESP grants inadequately for 20 years

August 19, 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

Alberta fraudster gets four years in jail

August 16, 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

FCA fines PwC for failing to blow whistle

August 16, 2024 James Langton
gavel on a laptop
From the Regulators

TD, RBC sanctioned by U.S. regulators

August 15, 2024 James Langton
rules and regulations
News

Advisor ran US$300 million Ponzi scheme: SEC

August 14, 2024 James Langton
Fraud allure
News

Court upholds FSRA enforcement policy

August 14, 2024 James Langton
Fair scale
News

FCA sanctions CFD firm for investor harm

August 14, 2024 James Langton
fake fact
News

ASX misled market, ASIC alleges in lawsuit

August 14, 2024 James Langton
Public statement
From the Regulators

FINRA sees deepening connections to crypto

August 13, 2024 James Langton
Bitcoin