Regulation

Ex-fund rep used online brokers with clients Ex-fund rep used online brokers with clients

Regulation

Ex-fund rep used online brokers with clients

Rep circumvented registration limits to trade wider range of securities

By James Langton |December 9, 2024

2 min read

Fraud victim gets some restitution Fraud victim gets some restitution

Regulation

Fraud victim gets some restitution

Canadian, Nigerian law enforcement secure some recovery in crypto scam

By James Langton |December 9, 2024

1 min read

B.C. court upholds limitations on asset freezes B.C. court upholds limitations on asset freezes

Regulation

B.C. court upholds limitations on asset freezes

Target of SEC enforcement can have access to frozen funds for appeal, court says

By James Langton |December 9, 2024

4 min read

ASC sanctions accountant’s fraud ASC sanctions accountant’s fraud

Regulation

ASC sanctions accountant’s fraud

Intent is relevant to sanctions, panel says, imposing permanent market ban

By James Langton |December 6, 2024

2 min read