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Keyword: Regulatory

1059 results found
Image of dark night with lightning above stormy sea

A think-tank report calls for policy action from government, the central bank and securities regulators

  • By: Staff
  • January 16, 2019 January 16, 2019
  • 11:51
photo of hands holding pen under document and pressing calculator buttons

Regulator is looking for ways to ease compliance costs

  • By: Staff
  • January 14, 2019 January 14, 2019
  • 15:34
Obsolete gray grunge concrete room, prison cell with metal bars.

The 2013 OSC ban was for quasi-criminal offences related to securities trading

  • By: Staff
  • January 11, 2019 January 11, 2019
  • 10:14
Lawyer

Trapeze Capital Corp. and Trapeze Asset Management Ltd. sought to dismiss civil lawsuits from former clients

  • By: Staff
  • January 9, 2019 January 9, 2019
  • 14:24
Bitcoin, Litecoin and Ethereum

Many cryptoassets fall through regulatory gaps

  • By: Staff
  • January 9, 2019 January 9, 2019
  • 12:24
Justitia, the goddess of justice

The SRO's proceedings constituted "an abuse of process," the tribunal says

Business adviser analyzing financial figures denoting the progress in the work of the company

Revisions modernize ombudsman's terms of reference

  • By: Staff
  • December 19, 2018 December 19, 2018
  • 13:07
Lawyer

In a settlement with the OSC, the company agreed it misstated its financial position

Row of multicolored folders with documents on white background

The same investor protection concerns don't apply, the organization says

  • By: Staff
  • December 14, 2018 December 14, 2018
  • 11:43
Justitia, the goddess of justice

The lawsuit seeks $175 million in damages on behalf of fund investors