enforcement

Merrill Lynch resolves mutual fund overcharging case Fallback Image Decorative pattern

Industry

Merrill Lynch resolves mutual fund overcharging case

Firm's systems failed to spot clients who were eligible for cheaper fund series

By James Langton |June 2, 2022

2 min read

IIROC hits Ng with record $5-million fine Fallback Image Decorative pattern

Industry

IIROC hits Ng with record $5-million fine

The penalty follows allegations that he deceived lenders with fake collateral

By James Langton |June 1, 2022

2 min read

IIROC sanctions former exec over syndications Fallback Image Decorative pattern

Industry

IIROC sanctions former exec over syndications

The SRO alleged the firm sought new issue allocations for its own account

By James Langton |May 31, 2022

1 min read

OSC reaches mixed verdict in complex insider trading case Fallback Image Decorative pattern

Industry

OSC reaches mixed verdict in complex insider trading case

Allegations involved trading ahead of a planned acquisition by Amaya Gaming

By James Langton |May 27, 2022

2 min read