Enforcement

News

Fund rep’s side hustle results in ban, fine

April 11, 2024 James Langton
News

Investors share modest recovery following former rep’s unregistered trading

April 10, 2024 James Langton
News

FCAA sanctions real estate scheme operators

April 5, 2024 James Langton
News

BMO Nesbitt sanctioned for supervisory shortcomings

April 5, 2024 James Langton
News

FSRA takes enforcement action against MGA

April 5, 2024 James Langton
Entrance to Financial Services Regulatory Authority of Ontario
News

Fund dealer chief sanctioned for misleading SRO

April 5, 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
News

Crypto queen’s compliance chief gets jail

April 4, 2024 James Langton
News

SEC sanctions advisory firm for private messaging

April 4, 2024 James Langton
News

Ex-rep’s crypto trading attracts SRO sanctions

April 2, 2024 James Langton
News

Court rejects OSC’s crypto fraud allegations

April 2, 2024 James Langton
Gavel and texts
From the Regulators

Desjardins sanctioned in MX settlement

March 28, 2024 James Langton
From the Regulators

FSRA flags few issues at credentialing bodies

March 27, 2024 James Langton
Review process