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Business man making a presentation at office. Business executive delivering a presentation to his colleagues during meeting or in-house business training, explaining business plans to his employees.

The committees will advise Ontario's new financial services regulator on three pension-related areas

  • By: Staff
  • July 19, 2019 July 19, 2019
  • 15:45
Gavel

The OSC found the firm directed client trades through an affiliated dealer when better terms were available elsewhere

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

Regulator plans to implement revisions by Jan. 1, 2020

  • By: Staff
  • July 18, 2019 July 18, 2019
  • 17:31
courtroom gavel

Woman received a permanent trading ban and was fined millions in 2017

  • By: Staff
  • July 16, 2019 July 16, 2019
  • 13:55
court gavel regulatory

OSC reaches same conclusion as an IIROC panel

  • By: Staff
  • July 10, 2019 July 10, 2019
  • 17:21
Lawyer

Case involved referrals that violated securities rules

  • By: Staff
  • July 4, 2019 July 4, 2019
  • 14:08
On the top of the world together. A group of people stands on a hill over the beautiful cloudscape.

Basel Committee says Canada meets or exceeds requirements

  • By: Staff
  • July 4, 2019 July 4, 2019
  • 12:44
business documents on office table with smart phone and digital tablet and graph business with social network diagram and man working in the background

Firms won't be required to apply margin requirements for amendments to existing derivatives

  • By: Staff
  • June 28, 2019 June 28, 2019
  • 10:29
Gavel

The ASC also ordered a permanent ban over the fraudulent investment scheme

  • By: Staff
  • June 27, 2019 June 27, 2019
  • 15:15
stack of documents or files, overload of paperwork on black background

Regulator to continue consultation on client-focused reforms, fee structures