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The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules

  • By: Staff
  • May 17, 2019 May 17, 2019
  • 13:17
Gavel

Suitability issues remain the top complaint

Alex Tapscott also settled with the SEC, paying a $25,000 civil penalty

  • By: Staff
  • May 13, 2019 May 14, 2019
  • 15:34
Connections system sphere global world view on city background 3D rendering

The firm is alleged to have misled investors with a slide presentation

  • By: Staff
  • May 9, 2019 May 9, 2019
  • 11:08
File

SRO says new system will detect trading anomalies more quickly

  • By: Staff
  • May 9, 2019 May 8, 2019
  • 09:00
loudspeaker

Vanisha Sukdeo, a lawyer and academic, is director of policy research

  • By: Staff
  • May 3, 2019 May 3, 2019
  • 16:50
Lawyer

OSC agrees with ASC’s decision to pull the firm’s registration

  • By: Staff
  • May 3, 2019 May 3, 2019
  • 15:45
stack of documents or files, overload of paperwork on black background

SEDAR, the National Registration Database and others would be replaced by a single system

loudspeaker

Wendy Rudd now a board member of the CRTA

  • By: Staff
  • May 2, 2019 May 2, 2019
  • 10:35
11119737 - in the spotlight featuring concept for the theater stage with glowing lights on red velvet cinema curtain and drapes representing the entertainment communications concept of an important announcement in a rich cinema and theatrical environment.

Four appointees were announced on Wednesday

  • By: Staff
  • May 1, 2019 May 1, 2019
  • 15:02