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Company: Ontario Securities Commission

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senior couple meets with advisor at home

New members include experts in aging and health, investor advocates and industry personnel

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Global regulators and industry executives will address opportunities and challenges in capital markets

Businessman analysis the stockmarket on labtop Stock Market Investment Online

The proposed changes aim boost trading volume and enhance market quality

closeup of on table in empty corporate conference room

Neil Gross has served on the Ontario Securities Commission’s IAP since November 2017

compliance puzzle

Some registered firms are not establishing an adequate compliance system

professional woman meeting male advisor

Panel expresses concern that DSC products may be sold more aggressively in advance of the prohibition being fully implemented

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Panels will examined the CSA’s proposed registration and business conduct regimes

“Double dip” scheme appears to target investors who lost funds to a foreign exchange trading scheme

Gavel and legal books

The commission set aside the decisions of an IIROC hearing panel and substituted its own decisions

Financial Technology concept illustration of Businessman pointing at abstract blue business charts and icons

The new initiative from the global group, which includes the OSC and the AMF, aims to enable innovation in financial services across borders more quickly and efficiently