Home enforcement Page 35

Keyword: enforcement

398 results found
Social networking concept

Under the proposed rules, everything from TikToks to Insta posts would have to disclose details of promotional activity

gavel

The regulator has brought its first enforcement case against an unregistered crypto firm

Gavel

The regulator has asked for extension to Aug. 12 while its investigation continues

Files being analyzed

The OSC advisory group will focus on SRO reform, among other issues, in the coming year

gavel

The OSC took action amid an ongoing investigation into potential conflicts and misconduct

Gavel

An individual was banned from working in the securities industry for 10 years after admitting that investor money went for personal use

scales of justice

Court finds an investor's portfolio was too heavily concentrated in preferred shares, but its low-risk strategy was appropriate

Gavel

The firm agreed to pay more than $1 million to resolve concerns that investors were harmed when the firm cut ties with dealers

Megaphone

Former prosecutor Alex Oh will lead the U.S. regulator's enforcement division

Files being analyzed

The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money