SEC orders massive award for tips that led to multiple enforcement actions
OSC sought fine but court ordered a suspended sentence
Pair pleads to money laundering charges in major crypto theft case
Regulators found firms are failing to identify and manage conflicts in clients' best interests
Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages
Offshore stock trades came alongside previously-sanctioned options trades
The CSA and CIRO will consider such awards a compliance issue
Regulator issues proposed guidance for public comment until Aug. 25
Compliance reviews exposed gaps in firms' anti-money laundering controls
Regulator insists cryptoassets were securities, despite efforts to skirt that designation