Industry News

Firms settle with SEC over undisclosed mutual fund trailer fees

Almost 80 firms admitted to violating securities rules

By Staff |March 11, 2019

2 min read

Lawyer agrees to settlement with ASC over alleged securities violation

The lawyer failed to identify that a former client was allegedly engaging in a market manipulation

By Staff |March 11, 2019

2 min read

B.C. regulator permanently bans three people over pump-and-dump scheme

The BCSC also handed out $17.4 million in fines and sanctioned a Swiss firm

By Staff |March 11, 2019

2 min read

Bitcoin-based CFD firm sanctioned by U.S. court

Regulator orders almost US$1 million in sanctions, disgorgement and restitution

By Staff |March 11, 2019

1 min read