Fraud

FBI joins SEC to thwart market manipulation

The FBI and the Securities and Exchange Commission have joined forces to deal with the threat of market manipulation posed by new computer trading methods.

By Staff |March 5, 2013

1 min read

Industry

OSC bans rep and firm

An OSC panel has permanently banned Empire Consulting and its founder.

By Staff |March 1, 2013

1 min read

Industry

2 former SNC-Lavalin execs charged with fraud

wo former execs of SNC-Lavalin have been charged with fraud.

February 27, 2013

1 min read

Industry

SEC charges hedge fund managers with fraud

The SEC has charged a pair of hedge fund managers and their Connecticut-based advisory firm New Stream Capital.

By Staff |February 27, 2013

3 min read

Industry

Canadians engaging in risky behaviour

Almost half (45%) of 18-34 year olds are taking risks with their credit card information, such as loaning their cards to someone or sharing payment information over email, phone or text.

By Staff |February 26, 2013

2 min read

Industry

Investors who are victims of the multi-billion dollar Madoff Ponzi scheme have suffered a major setback in federal appeals court, reports forbes.com. Apparently, none of the victims invested directly with Bernard L. Madoff Investment Securities LLC (BLMIS). Instead, they invested in two limited partnerships, Spectrum Select, L.P., and Spectrum Select II, L.P. This means, says […]

By Wire services |February 26, 2013

1 min read

Planning and Advice

4 anti-fraud tips for business owners

Having anti-fraud measures can decrease the amount and duration of employee fraud schemes. Here’s what your business owner clients should do.

By Michael McCormack |February 19, 2013

1 min read

Industry

SEC halts $150 million scheme targeting foreign investors

The SEC has announced charges and an asset freeze against a man who was allegedly defrauding foreign investors.

By Staff |February 12, 2013

2 min read

Industry

Deutsche Bank Securities to pay $1 million for failed compliance

On February 8, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement between IIROC staff and Deutsche Bank Securities Ltd. It says the bank admitted in late July and early August 2007 that it failed to engage compliance with emerging issues in the asset-backed commercial paper market, contrary […]

By Staff |February 8, 2013

1 min read

Industry

Agencies haunted by credit-crisis mistakes

Investors believed the blunders of the credit crisis were a thing of a past, reports Financial Times. But the recent slew of legal actions—including the case against S&P over alleged fraudulent ratings—has reminded markets there are still claims against major industry players that have be sorted out. Read more. Also read: S&P employees mocked company […]

By Wire services |February 6, 2013

1 min read

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