enforcement

Industry

OneCoin co-founder sentenced to 20 years for US$4 billion scheme

"Cryptoqueen" Ruja Ignatova, the alleged co-conspirator, remains at large

By James Langton |September 12, 2023

2 min read

Industry

SEC sanctions firms’ theoretical returns reporting

Investment advisers violated revised marketing rules, regulator alleges

By James Langton |September 12, 2023

1 min read

Industry

Private firms must follow whistleblower rules too: SEC

Company sanctioned for employee agreements that waived rights to whistleblower awards

By James Langton |September 8, 2023

1 min read

Industry

MX sanctions weak trading oversight

Wedbush Securities fined for compliance failings

By James Langton |September 8, 2023

1 min read

Life

FSRA revokes licence of life agent who sold repeat policies

Alleged misconduct included untrustworthiness, fraud and deception

By Staff |September 7, 2023

2 min read

Industry

OSC seeks cease trade in forex fraud case

Regulators allege the scheme took over US$300 million from investors

By James Langton |September 7, 2023

2 min read

Industry

Former FTX crypto executive pleads guilty to making millions in illegal U.S. campaign contributions

Exec is the fourth high-ranking official at the company or its affiliates to plead guilty to criminal charges

By Jake Offenhartz, The Associated Press |September 7, 2023

2 min read

Regulation

CSA increased bans, fines in latest fiscal year

Regulators' year in review also detailed crypto oversight, CFR sweep

By Staff |September 7, 2023

2 min read

Regulation

B.C. couple charged in Ponzi scheme

Long-running venture took in millions from investors, police allege

By James Langton |September 5, 2023

1 min read

Regulation

SEC sanctions private equity manager over non-disclosure

Firm failed to reveal conflicted fee payments, regulator charged

By James Langton |September 5, 2023

1 min read

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