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Business adviser analyzing financial figures of the company while meeting

Conflict rules could affect incentives, while DSC funds in Ontario may face even greater restrictions

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The SRO wants to make sure firms’ client reporting is accurate

Solution

Canadian regulators are prepared to carry out the study, but only if their U.S. counterparts follow suit

court gavel regulatory

The firm didn't question the concentration in a high risk, exempt market product, the agreement said

Maureen Jensen, chair and CEO of the OSC, will leave the job in April

fintech icon on abstract financial technology background represent Blockchain and Fintech Investment Financial Internet Technology Concept

The regulator has clarified when crypto trading is subject to securities law

Corporate executive in a modern architectural setting looking confidently out of high rise windows

The global group of securities regulators is calling on firms to synchronize their watches

gavel

The advisor's client was mentally incapacitated, and her son made unauthorized trades in her account

  • By: Staff
  • January 15, 2020 January 15, 2020
  • 14:46
stack of documents or files, overload of paperwork on black background

The SRO is working on standardizing, reorganizing and updating its guidance

Communication network concept. Multiple exposure.

The OSC is seeking input on how to support innovative businesses

  • By: Staff
  • January 2, 2020 January 3, 2020
  • 16:32