enforcement

Paid social media posts result in BCSC sanctions Paid social media posts result in BCSC sanctions

Industry

Paid social media posts result in BCSC sanctions

Earlier this year, the regulator settled with other clients of the same marketing firm for similar allegations

By James Langton |September 20, 2022

2 min read

Morgan Stanley client info on auctioned devices: SEC Fallback Image Decorative pattern

Industry

Morgan Stanley client info on auctioned devices: SEC

The firm agreed to pay US$35 million to settle privacy violation allegations

By James Langton |September 20, 2022

2 min read

Rep sanctioned after ignoring clients’ red flags Rep sanctioned after ignoring clients’ red flags

Industry

Rep sanctioned after ignoring clients’ red flags

Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says

By James Langton |September 19, 2022

2 min read

Prop trading firm sanctioned for oversight failures Fallback Image Decorative pattern

Industry

Prop trading firm sanctioned for oversight failures

NSSC settles with Halifax firm that failed to oversee its day traders in China

By James Langton |September 14, 2022

2 min read