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Entrance to the Financial Services Regulatory Authority of Ontario

New proposed amendment addresses removal of DSCs on existing seg fund contracts

  • By: Staff
  • June 2, 2023 June 2, 2023
  • 13:49
Jigsaw Puzzle on Blue background

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

Wooden gavel used by a judge or auctioneer

Most of the investors' money was put into riskier projects than promised

stack of documents or files, overload of paperwork on black background

Account transfer standards and dual registration are also in the works

Europe flag and stacks

Selling regulated and unregulated products side by side poses risks to investors, firms

Home For Sale Real Estate Sign in Front of Beautiful New House.

Brokerage, owner admitted to various contraventions of mortgage rules

Inspection image

Review found weakness in firms' valuation processes, procedures

Judge's gavel

Bid for judicial review quashed, motion to summon top OSC brass rejected

Europe flag and stacks

European Securities and Markets Authority seeks to curb investors' fund costs

Silicon Valley Bank headquarters and branch stock photo

Former CEO Greg Becker told a senate hearing that SVB was the victim of a social media-driven bank run