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Keyword: enforcement

398 results found
Sneaky thieves

ESMA says novel abuses need to be addressed for DeFi sector to grow

Financial Services Regulatory Authority of Ontario logo

The clampdown includes the sale of unsuitable universal life policies

Crypto coins

Regulator says the CoinField platform didn't have adequate assets to satisfy withdrawal requests

Thief

Convicted fraudsters banned by Ontario tribunal

Interconnected ESG

Firms not disclosing investments' negative ESG impact, Paris alignment

Using phone for finances

Another 10 firms sanctioned for extensive recordkeeping violations

gavel

Power to award options lies with board, not management

Fraudster captured

Clients' assets misappropriated rather than invested, U.S. authorities charged

Conceptual image of micro circuit Security concept

Firm rejects regulator's allegations, cites political motive for action

Cat and computer

SEC sanctions Stoner Cats creator over NFT sales