Former firm provided reps with improper incentives, regulator alleged
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Proposal would allow enforcement money to be used for IT projects and new innovation office
Robo-advisor violated rules when touting hypothetical performance
The FP Canada Standards Council released its annual enforcement activity
Latest settlement brings penalties in DoJ cases to over US$36 billion
Investors' reps challenge a ruling over who gets priority in an insolvency
Judge says crypto mogul tampered with witnesses
Regulator sets supervisory priorities for credential providers
Regulators fined firms a total US$549 million for record-keeping failures