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CFTC STEPS UP WHISTLEBLOWER PAYOUTS

Over the past three months, the U.S. Commodity Futures Trading Commission (CFTC) has granted US$150 million in whistleblower awards — and it’s adopting a rule to speed up such payouts. The U.S. deriv...

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Investment Executive
ADVISOR"S IDENTITY STOLEN, INVESTORS DUPED: SEC
September 15, 2026

A U.S. financial advisor had their identity stolen and used to defraud investors, the U.S. Securities and Exchange Commission (SE...

Investment Executive
TRIBUNAL UPHOLDS FCA"S FUND MANAGER BAN
September 15, 2026

The U.K. Financial Conduct Authority’s (FCA) ban on fund manager Crispin Odey — after the regulator concluded that he “lacked int...

Investment Executive
TRADER WHO TORPEDOED FIRM GETS PRISON TIME
September 15, 2026

A trader who bankrupted the broker-dealer he worked at by losing more than US$30 million via unauthorized speculative bond tradin...

Investment Executive
SEC SETTLES WITH B.C. FIRM OVER AML FAILINGS
September 15, 2026

In a settlement with the U.S. Securities and Exchange Commission (SEC), a subsidiary of Vancouver’s Haywood Securities Inc. is pa...

Investment Executive
LAID OFF EXEC RESOLVES SEC INSIDER TRADING CASE
September 14, 2026

A former corporate executive who was charged with insider trading based on looming negative news about his employer — including h...

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