enforcement

Decorative pattern

After escaping ASC sanctions, man faces new charges

Regulator alleges man violated trading, officer bans

By James Langton |January 14, 2022

1 min read

Decorative pattern

IIROC bans, fines former advisor $1 million

The ex-representative embezzled funds from elderly clients

By James Langton |January 6, 2022

2 min read

Decorative pattern

Canaccord settles IIROC client overcharging case

The firm agreed to a $157,500 fine and will repay 6,000 affected clients

By James Langton |January 5, 2022

2 min read

Decorative pattern

Scotia Capital settles fee discrepancy case

Regulatory fine pales against firm's $32-million remediation plan

By James Langton |December 17, 2021

1 min read

Decorative pattern

CIBC to pay $125 million to settle class action lawsuit on subprime mortgage risks

Investors launched the suit in 2008 alleging that the bank misled the market

By Ian Bickis, The Canadian Press |December 7, 2021

2 min read

Decorative pattern

Judge orders jail time in fraud case

Ottawa-area couple convicted on quasi-criminal charges brought by the OSC

By James Langton |December 3, 2021

1 min read

Decorative pattern

Quadrus settles with MFDA over lapses in sales practices

Incentive structure favoured in-house funds over third-party funds, regulator found

By James Langton |November 24, 2021

2 min read

Decorative pattern

SEC total enforcement activity down slightly in 2021

The U.S. regulator reported a record year for whistleblowers

By James Langton |November 19, 2021

1 min read

Decorative pattern

SEC enforcement down again in 2021

Drop in public company cases follows turnover at the U.S. regulator, pandemic

By James Langton |November 17, 2021

2 min read

Decorative pattern

Former fund industry exec convicted of fraud

Syndicated mortgage firms never invested clients' money, the court found

By James Langton |November 11, 2021

2 min read

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