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Keyword: enforcement

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Two golden coins - Bitcoin and Ethereum

The state invoked investor protection law to shutter unregistered platforms

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The accused allegedly diverted investors' funds for personal use


IIROC panel found rep secretly compensated clients, misled investigators

court gavel regulatory

Perpetrator of Poseidon Concepts Corp. scheme pleads to U.S. criminal charges

gavel on a wooden bench

In a settlement with the OSC, he agreed to pay $1.7 million for operating a successful investment club without registration

Miniature house on white background

Compliance review uncovered rep's secret sideline

Target and arrows

Proposed rules aim to address unpaid compensation to harmed investors


Appeal court found that regulator erred in two cases, but not in a third

Man stopping line of dominoes from falling

Rule changes from 2020 enable SEC to ban frivolous filers from its tip award program

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In decision, MFDA panel stresses need for sanctions that deter exploitation of vulnerable investors