Fraud – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 10 Feb 2025 21:13:41 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Fraud – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 SEC hacker pleads guilty https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-hacker-pleads-guilty/ Mon, 10 Feb 2025 20:10:08 +0000 https://www.investmentexecutive.com/?p=502097 Breach was used to falsely post about bitcoin ETF approval, sending crypto prices up

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]]> B.C. appeal court certifies closet indexing class action https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/b-c-appeal-court-certifies-closet-indexing-class-action/ Wed, 05 Feb 2025 20:38:08 +0000 https://www.investmentexecutive.com/?p=501844 Fund investors don't need to allege fraud, court finds

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]]> CFTC revamps enforcement division https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cftc-revamps-enforcement-division/ Tue, 04 Feb 2025 21:09:10 +0000 https://www.investmentexecutive.com/?p=501763 Regulator slims its roster of task forces, signals shift in focus

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]]> FCA hits ex-analyst with confiscation order https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-hits-ex-analyst-with-confiscation-order/ Mon, 03 Feb 2025 18:03:12 +0000 https://www.investmentexecutive.com/?p=501567 Former Goldman Sachs analyst traded on confidential M&A information

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]]> Court approves SMI class action settlement https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/court-approves-smi-class-action-settlement/ Fri, 31 Jan 2025 19:22:19 +0000 https://www.investmentexecutive.com/?p=501477 Latest in a series of class action settlements connected with Fortress Real

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]]> Binary options fraudsters ordered to pay US$450 million https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/binary-options-fraudsters-ordered-to-pay-us450-million/ Thu, 30 Jan 2025 22:19:56 +0000 https://www.investmentexecutive.com/?p=501364 U.S. district court issues default judgment in global scheme

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]]> ASC, BCSC join settlement with crypto companies https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/asc-bcsc-join-settlement-with-crypto-companies/ Fri, 24 Jan 2025 19:05:57 +0000 https://www.investmentexecutive.com/?p=500961 Settlement provides refunds to investors that bought variety of digital assets

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]]> Bridging investors deserve their day in court: judge https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bridging-investors-deserve-their-day-in-court-judge/ Thu, 23 Jan 2025 19:54:07 +0000 https://www.investmentexecutive.com/?p=500856 Quebec court refuses to stay lawsuit, saying regulatory, receivership proceedings could take years

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]]> Capital markets vulnerable to criminals: FCA https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/capital-markets-vulnerable-to-criminals-fca/ Thu, 23 Jan 2025 19:11:12 +0000 https://www.investmentexecutive.com/?p=500852 Firms need to beef up anti-money laundering controls, review finds

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]]> SEC makes last-minute enforcement push https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-makes-last-minute-enforcement-push/ Mon, 20 Jan 2025 19:37:19 +0000 https://www.investmentexecutive.com/?p=500545 Agency reports record enforcement filings, seeks to save dealer rule

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