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SRO ordered US$48.1 million in monetary penslties in 2022

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Fines, disgorgement and costs orders all rose, the latest enforcement report shows

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A hearing panel ordered fine, costs and a market ban, but not disgorgement, against Alberta man

Ex-CEO sanctioned for trading after issuing misleading press releases

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The bank had already agreed to a penalty in 2016 for managing almost 3,000 accounts for U.S. taxpayers

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MFDA panel says respondent “caused significant damage to the integrity of the capital markets”

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Enforcement was split roughly evenly between cases involving registered and unregistered defendants


Two individuals and a numbered company were implicated

  • By: Staff
  • May 24, 2019 May 24, 2019
  • 13:02

The €1.25 million fine was announced on Monday


The former broker admitted to recommending unsuitable high-risk investments to multiple clients

  • By: Staff
  • April 23, 2019 April 23, 2019
  • 15:02