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Keyword: enforcement

398 results found
Wooden gavel used by a judge or auctioneer

Ex-rep admitted to misappropriating money and undisclosed borrowing from a client

gavel on a wooden bench

The regulator reduced penalties against an advisor after finding errors in the SRO's decision

court gavel regulatory

The client was repaid, but the funds used to repay the client came from a mysterious source

Gavel

A judge has given PwC 60 days to sort out funds' finances before appointing lawyers to represent investors

scales of justice

The allegations stem from illegal cannabis production that was discovered in 2019

Lawyer writing in legal book

Securities regulators ordered more than $42 million in restitution, compensation and disgorgement

Gavel

The Quebec regulator achieved its objectives despite the pandemic

gavel on a wooden bench

An Ontario court will rule shortly on motions regarding investor representation

court gavel regulatory

Rep fined $75,000, suspended for six months in settlement with regulators

scales of justice

An advisor was permanently banned after engaging in personal financial dealings with a client