Whistleblower was awarded US$20 million
Regulators to set new custody and asset segregation requirements
Canada could learn from a U.K. proposal
Precious metals trader guilty of wire fraud, federal jury finds
MFDA alleged client gave rep access to bank account while travelling
Court dismisses challenge to enforcement decision, finds process was fair
Firm agreed to $100,000 sanction, admitted oversight violations
Proposals include increasing the limit on claims and publishing arbitration decisions
The panel imposed $1.1 million in penalties and $400,000 in disgorgement over a fuel-cell scheme
Weaknesses in firms' practices uncovered in compliance exams