enforcement

IIROC offers discount on sanctions for quick settlements Fallback Image Decorative pattern

Industry

IIROC offers discount on sanctions for quick settlements

The SRO has adopted an early settlement program but scrapped its plan for punishing minor violations

By James Langton |April 8, 2021

2 min read

Bankruptcy no escape hatch for regulatory sanctions, court rules Fallback Image Decorative pattern

Industry

Bankruptcy no escape hatch for regulatory sanctions, court rules

A court has found that penalties imposed by the BCSC should survive the bankruptcy process

By James Langton |March 30, 2021

1 min read

SEC alleges man sold insider trading tips on dark web Fallback Image Decorative pattern

Industry

SEC alleges man sold insider trading tips on dark web

The regulator says anonymous online markets were used to traffic information used in illegal trading

By James Langton |March 18, 2021

1 min read

IIROC can proceed with e-hearing, OSC rules IIROC can proceed with e-hearing, OSC rules

Industry

IIROC can proceed with e-hearing, OSC rules

There is no evidence that video hearings are unfair, regulator says

By James Langton |March 18, 2021

2 min read