enforcement

Increase in settlements fills OSC coffers

A higher collection rate last year means more money for harmed investors, the regulator says

By James Langton |July 6, 2020

2 min read

Rep was acquitted of charge but failed to disclose it to the OSC twice

By James Langton |July 2, 2020

3 min read

Regulators issued more investor alerts and bans

By Greg Dalgetty |June 23, 2020

2 min read

The longtime advisor, who had no previous disciplinary history, cooperated with IIROC’s investigation

By James Langton |June 12, 2020

1 min read

The regulators’ actions resulted in multiple jail sentences as well

By James Langton |May 28, 2020

2 min read

The Surrey man had failed a proficiency course three times

By James Langton |May 21, 2020

1 min read

Misappropriated investor funds were used to purchase a Bentley, a Maserati and a Range Rover

By James Langton |May 19, 2020

2 min read

Three former audit partners at KPMG have settled allegations with the SEC

By James Langton |May 19, 2020

1 min read