SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies
Appeal Court finds alleged fiduciary duty breach can be basis for class action
Regulator names first chief data scientist
Emerge ARK funds are still owed $4.7 million by manager
Case against 1832 Asset Management L.P. is the latest to secure certification
Refinitiv allowed investors to trade on its platform without registering as an exchange
Global regulators to focus on implementation with their policy approach complete
Operators of PlexCoin initial coin offering found guilty
Regulators make case for greater supervisory and enforcement powers
After a previous settlement, real estate mogul should have known better, regulatory tribunal finds