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gavel on a laptop

The respondents argued that a video hearing “would not permit an adequate assessment of credibility”

File

KYC, KYP and suitability obligations remain areas of concern

gavel

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

Business people working in a conference room

In a submission, the regulators warned against enforcement reforms

Megaphone

The new executive director spent almost 20 years at Ontario's securities regulator

  • By: Staff
  • August 24, 2020 August 24, 2020
  • 11:43

The regulator cited concerns about possible client over-concentration

gavel on a laptop

OSC publishes guide for online proceedings

Wooden gavel used by a judge or auctioneer

The OSC didn't make errors or deny fairness, the court said

Abstract,Golden Bitcoin money on computer.

It's the regulator's first enforcement case against a crypto trading platform

Online banking businessman using smartphone with credit card Fintech and Blockchain concept

The regulator also alleges that more than 90% of the firm's crypto trading volume was fake