News and resources for Canada's top financial advisors
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Industry
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
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
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
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
An Ontario court has approved a plan submitted by the OSC and IIROC to distribute funds to investors burned in the third-party Asset-Backed Commercial Paper (ABCP) fiasco that began in 2007.
By Staff |March 13, 2012
1 min read
The Ontario Securities Commission (OSC) has issued its annual report on enforcement activity, detailing the actions it has taken to disrupt potential illegal activity, both nationally and internationally, to protect Ontario investors from ongoing harm.
February 24, 2012
From the time it became eligible to collect monetary sanctions against industry wrongdoers in 2005, the Ontario Securities Commission has collected less than half of what’s due, according to a report issued by the regulator today.
By Philip Porado |January 18, 2012
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