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Keyword: Enforcement

2571 results found
Ontario teams up with Israel to tackle cybersecurity in financial services

Firm rejects regulator's allegations, cites political motive for action

Cat looking at screen

SEC sanctions Stoner Cats creator over NFT sales

Fraudster imprisoned

"Cryptoqueen" Ruja Ignatova, the alleged co-conspirator, remains at large

angry client meeting

Investment advisers violated revised marketing rules, regulator alleges

Regulators aim to harmonize rules for decentralized finance and traditional finance

Company sanctioned for employee agreements that waived rights to whistleblower awards

Judge looks at papers

So-called smart contracts still must comply with the law, regulator warns

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Wedbush Securities fined for compliance failings

U.K. regulator gives compliance extension to some firms, threatens others with enforcement

Alleged misconduct included untrustworthiness, fraud and deception

  • By: IE Staff
  • September 7, 2023 September 7, 2023
  • 15:53