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  1. James Langton
    The pair have both been sentenced to three months in jail, followed by 18 months of probation and 125 community service, according to the OSC
  2. James Langton
    The increase in revenue was due primarily to the impact of new fee rules, particularly higher participation fees
  3. James Langton
    Gaudet, whom the OSC had banned permanently in 1991, admitted to trading without registration and issuing securities without a prospectus
  4. James Langton
    But there’s good progress on trade reporting requirements for OTC derivatives, and higher capital requirements for non-centrally cleared derivatives are mostly in force
  5. James Langton
    Mackenzie and Quadrus will not have to deliver the document to clients if they’re in a program that automatically switches them to a lower-fee series
  6. James Langton
    New rule amendments aim to enhance advisor report and disclosure
  7. James Langton
    The report sets out examples of good practice in disclosure, compensation, transaction costs and commissions
  8. James Langton
    Polina Edry and Subramaniam Sulur were both fined, sentenced to community service and probation after pleading guilty for purchasing contact information of new mothers
  9. James Langton
    The new rules combine the existing sets of dealer and marketplace rules into a single set of rules for all enforcement proceedings
  10. James Langton
    New lab underscores MAS’ commitment to promoting a culture of innovation in the financial sector