A former OCC employee downloaded a large number of files onto two removable thumb drives and has since been unable to locate the devices
The regulator dismissed Krishna Sammy’s application after failing to meet the new deadline of Oct. 15
Henry Sojka, who was an advisor with now-defunct Union Securities, also failed to co-operate with IIROC’s investigation into his actions
The three firms also agreed to make a $3-million payment to the OSC and to pay $50,000 in costs for their role in overcharging clients
IOSCO reports on implementation of G20/FSB recommendations
European financial regulators’ new guidance focuses on ensuring financial services institutions’ management is up to the task
Ensuring that clients come first can only improve public confidence in markets, IIROC CEO says
OCC to launch innovation office
Proposed amendments would establish minimum proficiency requirements for mutual fund reps who present themselves as planners
Proposals would require participants in a contested board election to use proxy cards that enable shareholders to vote for any candidate
Regulator revises FAQs
OSC hearing scheduled for Friday
Survey seeks comments on efforts to enhance the safety, security and resiliency of the U.S. payments system
The advisor, who has also been fined $50,000, borrowed money from a client and failed to co-operate fully with the regulator’s investigation
The Ontario regulator has laid the hammer down on Tier 1 Transaction Advisory Services, Tier 1 Mortgage and First Commonwealth Mortgage for various infractions
OSC LaunchPad aims to help fledgling fintech companies navigate the complex world of securities laws and help them get to market faster
The self-regulatory organization plans to focus on issues surrounding short selling
The SPAC advises the commission on a variety of policy and procedural initiatives relating to proceedings before the OSC’s administrative tribunal
Securities regulators have produced a series of videos designed to help demystify certain aspects of the CRM2 reforms for clients
The new reporting requirement is intended to enhance regulatory oversight of the U.S. Treasury market
IOSCO, CPMI release consultation paper
Basel Committee issues eleventh progress report
FCA will work with the industry to develop standards for underwriting league tables
CSA protocols intended to improve the accuracy, reliability and transparency of shareholder votes
The is being sanctioned in connection with trade reporting failures and related supervisory violations