The rule changes come into effect Sept. 6
Defendant pleads guilty to his role in the scheme
Regulators take aim at manipulative behaviour
They take effect in September
Rep admitted to making late-day trades in a venture stock on behalf of a client
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
Sanctions ordered against three people and a firm
Administrative penalties total nearly $1 million
Former advisor ordered to pay $800,000 penalty
The proposal would replace the CSA’s existing system for investigating possible market misconduct cases utilizing T+1 trading data