Off-site supervisors mistakenly believed trading platform would ensure all options trades were appropriate for client accounts
Five firms charged with securities law violations
Regulator says accounting firm breached securities laws
Amendments require securities commission approval before they take effect
Consultation outlines instances which may trigger temporary rules to protect UK investors
Investor loses more than $12,000
By-law amendments confirmed at AGM
Amendments designed streamline communications with investors who hold securities through intermediaries
Former DWM Securities manager failed to ensure that rep’s recommendations were suitable for clients
Poor knowledge of the product and its risks lead to $30,000 fine
Penalty hearing to be scheduled
Fund dealer improves internal compliance systems
Pointe-Claire man borrowed money from a client without his firm’s authorization
OSC report sets out common deficiencies uncovered in compliance reviews
Unfiltered access will be prohibited
Issuer distributed preferred share without a prospectus
Schiavone ordered to pay $300,000 administrative penalty, plus disgorgement and costs
Provincial regulator to hear appeal of IIROC penalty decision
Turning back the clock is not an option, Zelmer says
Money manager Weizhen Tang was convicted of fraud last month
Tom Mezinski reprimanded, ordered to cease trading for three years
Former executives failed to disclose trades
The new rules will be phased in over 18 months,
Federal finance minister meets with Ontario counterpart
Regulator says firm raised $1.1 million from investors by entering into loan agreements or promissory notes