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Ontario Queen's Park Legislative Building

The proposals would radically alter securities regulation in Ontario

Ontario Queen's Park Legislative Building

List of 70 recommendations includes major governance changes to Ontario Securities Commission

gavel on a wooden bench

Deal includes $2.4 million and cooperation with ongoing litigation

gavel

Evidence released by the regulator is being used in a potential class action

Justitia, the goddess of justice

Delayed disclosure on Form F4 calls into question advisor integrity

employee or contractor

Increased awareness of labour law could lead to more litigation regarding employment contracts for financial advisors

gavel

An individual has been spared from testifying following a “very technical” interpretation of the Ontario Securities Act

gavel on a wooden bench

An appeal court has ruled that a lower court erred in dismissing the claim

court gavel regulatory

The rep was terminated by his firm after admitting to forgery

gavel

Specific damages owing to employees in the class action have not yet been determined