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Keyword: enforcement

398 results found
gavel on a wooden bench

MFDA panel fines, bans rep after finding numerous violations

Lawyer writing in legal book

Settlement follows violations including overlooking suspicious trading activity

CIBC building downtown Toronto

Certain fees were not disclosed to borrowers for almost 20 years, regulator alleged

Files being analyzed

The regulator alleged a firm's training instructs life agents to mislead consumers, which the firm refutes

  • By: Staff
  • October 25, 2022 October 25, 2022
  • 11:32
Wooden gavel used by a judge or auctioneer

Regulators resolve accounting irregularity case with dually listed firm

scales of justice

A hearing next month will examine whether certain investors are entitled to priority claims

financial stock market graph on technology abstract background

Advisors exploited the firm's inadequate controls, according to a settlement agreement

energy sector oil and wind power

ESMA, EU energy regulator team up to increase market surveillance

scales of justice

Court to decide whether certain investors will get priority in fund recoveries

gavel

CannTrust has since renamed itself Phoena Holdings and exited creditor protection in March