enforcement

B.C. Appeal Court upholds dismissal of IIROC suit Fallback Image Decorative pattern

Industry

B.C. Appeal Court upholds dismissal of IIROC suit

The Court of Appeal for British Columbia found that the judge did not err in 2019 ruling

By Staff |August 25, 2022

1 min read

Citi sanctioned for weak trading controls Fallback Image Decorative pattern

Industry

Citi sanctioned for weak trading controls

FCA fines firm for failing to beef up trading surveillance

By Staff |August 19, 2022

1 min read

Suspensions down, permanent bans up for financial planners in 2021 Fallback Image Decorative pattern

Industry

Suspensions down, permanent bans up for financial planners in 2021

Enforcement activity was included in FP Canada's annual report

By Staff |August 18, 2022

2 min read

SEC alleges PR firm employee tipped partner to trade on Equifax breach Fallback Image Decorative pattern

Industry

SEC alleges PR firm employee tipped partner to trade on Equifax breach

The scheme even included a reference to "Blue Horseshoe," the code for inside information in the 1987 movie Wall Street

By James Langton |August 16, 2022

2 min read