Former OpenSea product manager sanctioned for scheme
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Proposal would allow enforcement money to be used for IT projects and new innovation office
Long-time SRO employee tapped to head division
Robo-advisor violated rules when touting hypothetical performance
Regulator supports firms' efforts to address ESG risks
The FP Canada Standards Council released its annual enforcement activity
Authorities allege investors were defrauded with false promise of lucrative private shares
Latest settlement brings penalties in DoJ cases to over US$36 billion
Company went public in a de-SPAC transaction following the audit