Former OSC commissioner Judith Robertson begins a five-year term in August
The OSC ordered the four executives to pay $80 million in penalties and disgorgement
Compliance reviews uncover deficiencies in data reporting
Clients should report solicitations
The settlement involves a $300,000 payout and multi-year bans
The change will result in more than $700K of savings for registrants
The firm is alleged to have misled investors with a slide presentation
OSC agrees with ASC’s decision to pull the firm’s registration
Ray Kindiak has been appointed to a two-year term
Proposed changes include a requirement to report information security breaches