Company: Canadian Investment Regulatory Organization

120 results found
Dispute at desk

CSA says next phase of consultation to come next year

Fraud

Leverage strategy deployed on the down low resulted in hefty financial losses

a bright idea

Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

Oversight direction

OSC asked to review OM exemption, beneficial ownership registry being examined

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Acts in furtherance of a trade violated securities rules

Judge looks at papers

Firm was alerted to $1 million in missed grants by government review

investor restitution challenges

Self-regulatory organization consults on proposed disgorgement distribution policy

new rules

Approval regime, proficiency are among areas covered in latest consultation

Investment pool

Scotia-backed firm will launch this month with 70% Indigenous ownership

Computer with financial growth

Regulator details vision for retail funds that hold long-term assets