Trading engine upgrade not matched by surveillance
Breaches of anti-money laundering rules revealed in compliance review
Court dismisses case, citing importance of timely dispute resolution
Conflict arose from allocation that generated revenue from "no fee" accounts
Regulator alleged US$14 million overcharging, settles for US$150,000 penalty
Enforcement case concluded against man convicted of insider trading
Request for state-appointed legal counsel denied by Ontario appeal court
Ex-rep posed as a successful trader online, duping investors
Payments from LIFs can face forfeiture, court finds
Harmed investors will be able to make claims for share of sanctions, April 1