OSC

Two jailed as OSC gets tough

Critics of Canada’s securities regulation regime often claim the provincial commissions lack the teeth—or the will—to get tough on those who tarnish the industry’s image. It appears the OSC has taken this criticism to heart, announcing jail sentences for two men convicted of violating cease trade orders.

By Staff |March 30, 2012

2 min read

Inside the OSC’s registrant conduct team

The OSC is intensifying its effort to weed out delinquent dealers from the securities industry. To show it means business, the regulator has created a dedicated registrant conduct and risk analysis team, which operates within the larger compliance and registration regulation branch of the commission.

By Vikram Barhat |March 27, 2012

4 min read

OSC fines, bars pair in $4 million Ponzi

The OSC has permanently barred two men from the Ontario capital markets, after finding they committed multiple breaches of the Ontario Securities Act.

By Staff |March 22, 2012

2 min read

Listing in Canada? Play by our rules: OSC

Companies based in emerging markets must ensure they measure up to Canadian regulatory scrutiny if they are going to seek capital in our markets, the OSC has declared in its Emerging Markets Issuer Review.

By Staff |March 20, 2012

4 min read