Two men are accused of obstructing an OSC investigation into a crypto offering
The regulator reduced a rep's fine and suspension following an appeal
OSC to consider whether IIROC hearing can go electronic
Third man charged by Toronto police in purported scam
Charges stem from scheme to help clients evade U.S. taxes with offshore shells
The firm reported that clients had paid trailers on fee-based accounts
Rep sought to stay a nine-month suspension, pending review of IIROC ruling
The respondents argued that a video hearing “would not permit an adequate assessment of credibility”
KYC, KYP and suitability obligations remain areas of concern
PACE Credit Union will propose a settlement for investors