Investor protection

From the Regulators

Instead of retiring, rep ran a Ponzi scheme: SEC

July 22, 2025 James Langton
ponzi scheme
From the Regulators

Ex-bank regulator sanctioned for insider trading

July 22, 2025 James Langton
penalty card
From the Regulators

Trader sanctioned for retail wash trading

July 21, 2025 James Langton
Market manipulation
From the Regulators

CIRO publishes exam materials

July 21, 2025 James Langton
Doing Homework
From the Regulators

Advisor defrauded ‘friends and family’ in fund

July 18, 2025 James Langton
Fraud allure
From the Regulators

U.S. tech exec charged with fraud

July 18, 2025 James Langton
Stealing money
From the Regulators

Appeal sought in Bridging Finance case

July 18, 2025 James Langton
calendar court
From the Regulators

CSE proposes new acquisition approval process

July 17, 2025 James Langton
Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Horizontal, blurred (Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Ho
From the Regulators

WFE champions revival of public markets

July 17, 2025 James Langton
Economic growth
From the Regulators

FCA seeks dispute resolution reforms

July 17, 2025 James Langton
dispute resolution
News

FCA sanctions Barclays’ anti-crime failings

July 16, 2025 James Langton
Gavel and texts
From the Regulators

Head of U.S. audit regulator steps down

July 16, 2025 James Langton
Rule change