enforcement

Industry

Police bring fresh charges in Ponzi scheme case

Third man charged by Toronto police in purported scam

By James Langton |October 2, 2020

1 min read

Industry

Panama Papers accountant gets three-year jail term

Charges stem from scheme to help clients evade U.S. taxes with offshore shells

By James Langton |September 24, 2020

1 min read

Industry

PEAK settles overcharging, supervisory allegations

The firm reported that clients had paid trailers on fee-based accounts

By James Langton |September 17, 2020

1 min read

Industry

NSSC denies rep’s bid to halt disciplinary action

Rep sought to stay a nine-month suspension, pending review of IIROC ruling

By James Langton |September 16, 2020

2 min read

Industry

Respondents unsuccessful in avoiding OSC video hearing

The respondents argued that a video hearing “would not permit an adequate assessment of credibility”

By James Langton |September 14, 2020

2 min read

Industry

OSC reports downward trend in compliance actions

KYC, KYP and suitability obligations remain areas of concern

By James Langton |September 14, 2020

2 min read

Industry

Court appoints counsel for investors in PACE Securities wind-up

PACE Credit Union will propose a settlement for investors

By James Langton |August 10, 2020

2 min read

Industry

PEAK settles with MFDA

Fund dealer admits to not fully investigating suspected rep misconduct

By James Langton |August 5, 2020

2 min read

Industry

Coinsquare to pay $2.2 million in OSC settlement

It's the regulator's first enforcement case against a crypto trading platform

By James Langton |July 21, 2020

3 min read

Industry

BCSC hands down penalties in $5M Ponzi scheme

The fraudster was also permanently banned by the regulator

By James Langton |July 16, 2020

1 min read

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