Enforcement

From the Regulators

SEC sanctions firms’ theoretical returns reporting

September 12, 2023 James Langton
angry client meeting
From the Regulators

IOSCO details DeFi policy proposals

September 8, 2023 James Langton
From the Regulators

Private firms must follow whistleblower rules too: SEC

September 8, 2023 James Langton
From the Regulators

DeFi trio runs afoul of CFTC

September 8, 2023 James Langton
Judge looks at papers
From the Regulators

MX sanctions weak trading oversight

September 8, 2023 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 offers crypto firms a little carrot, a bit of stick

September 7, 2023 James Langton
From the Regulators

FSRA revokes licence of life agent who sold repeat policies

September 7, 2023 IE Staff
From the Regulators

OSC seeks cease trade in forex fraud case

September 7, 2023 James Langton
Gavel and texts
Industry News

Former FTX crypto executive pleads guilty to making millions in illegal U.S. campaign contributions

September 7, 2023 Jake Offenhartz, The Associated Press
Judge looks at papers
News

CSA increased bans, fines in latest fiscal year

September 7, 2023 IE Staff
Gavel and texts
From the Regulators

B.C. couple charged in Ponzi scheme

September 5, 2023 James Langton
From the Regulators

SEC sanctions private equity manager over non-disclosure

September 5, 2023 James Langton
Investment entities need to improve disclosure practices: CSA