Tribunal rejects circumstantial case, concluding trades are suspicious but not clearly offside
Fraud charges remain
Firm deceived investors about trading halt, SEC alleges
Fund manager pays US$1.5 million to settle allegations involving ESG disclosure
Model rule, if implemented by regulators, would add enforcement teeth to arb awards, sanctions
MFDA alleged over $300,000 was taken through early GIC redemptions, withdrawals
Fund managers hid risk of complex trading strategy that blew up in March 2020
Scheme secured US$133 million in loans based on forged documents
Firm settled allegations involving unapproved electronic access
David Singh was sentenced to three and a half years in jail and ordered to pay $4.8 million in restitution