The respondents argued that a video hearing “would not permit an adequate assessment of credibility”
KYC, KYP and suitability obligations remain areas of concern
An individual has been spared from testifying following a “very technical” interpretation of the Ontario Securities Act
In a submission, the regulators warned against enforcement reforms
The new executive director spent almost 20 years at Ontario's securities regulator
The regulator cited concerns about possible client over-concentration
OSC publishes guide for online proceedings
The OSC didn't make errors or deny fairness, the court said
It's the regulator's first enforcement case against a crypto trading platform
The regulator also alleges that more than 90% of the firm's crypto trading volume was fake