fines

FINTRAC fines firms for compliance failings FINTRAC fines firms for compliance failings

Regulation

FINTRAC fines firms for compliance failings

Agency sanctions breaches of anti-money laundering rules

By James Langton |February 5, 2026

1 min read

Proposed fine too light, CIRO panel finds Proposed fine too light, CIRO panel finds

Regulation

Proposed fine too light, CIRO panel finds

Triple the proceeds of misconduct deemed more adequate deterrent

By James Langton |January 15, 2026

3 min read

Rep fined for unauthorized form alterations Rep fined for unauthorized form alterations

Regulation

Rep fined for unauthorized form alterations

Mutual fund rep altered 15 account forms without client knowledge

By Jonathan Got |March 7, 2025

2 min read

UBS settles case over mortgage-backed securities in lead-up to financial crisis UBS settles case over mortgage-backed securities in lead-up to financial crisis

Industry

UBS settles case over mortgage-backed securities in lead-up to financial crisis

Latest settlement brings penalties in DoJ cases to over US$36 billion

By James Langton |August 14, 2023

2 min read