Alleged episode of rogue trading led to a US$2.3 billion loss
Brossard, Que. manager failed to supervise transactions by reps
Bond pricing allowed Credit Suisse to achieve fictional profits
FundEX and Investia ordered to implement leverage review action plans
Ravi Sinha fined over fake invoices
Ontario fund dealer penalized for supervisory failings and poor record keeping
Four firms charged for extending market access without registering as brokers
Regulator says David Einhorn and his hedge fund Greenlight Capital had inside information on Punch Taverns fundraising
The biggest settlement reached during the year was for US$310 million with two Alberta men
Dealer failed to supervise leveraged trades, MFDA says