enforcement

BCSC sanctions sales-rule violations

Industry

BCSC sanctions sales-rule violations

Former firm provided reps with improper incentives, regulator alleged

By James Langton |August 25, 2023

1 min read

U.S. reaches deal on broker’s shady trading

Industry

U.S. reaches deal on broker’s shady trading

Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement

By James Langton |August 23, 2023

2 min read

Ontario seeks to expand OSC sanctions spending

Industry

Ontario seeks to expand OSC sanctions spending

Proposal would allow enforcement money to be used for IT projects and new innovation office

By James Langton |August 22, 2023

2 min read

Decorative pattern

Industry

SEC sanctions firm over crypto hype

Robo-advisor violated rules when touting hypothetical performance

By James Langton |August 21, 2023

2 min read