OSC to delegate registration to CIRO, rest of CSA considering it too
Firm failed to oversee trading activity by a couple of its reps
Firm to help build infrastructure for new exam-based approach to reps' education
CSA says next phase of consultation to come next year
Leverage strategy deployed on the down low resulted in hefty financial losses
Reforms would extend program to fund dealers, expand monetary limits, fund certain costs
OSC asked to review OM exemption, beneficial ownership registry being examined
Acts in furtherance of a trade violated securities rules
Firm was alerted to $1 million in missed grants by government review
Self-regulatory organization consults on proposed disgorgement distribution policy