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Company: Ontario Securities Commission

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Compliance Legal Rule Compliancy Conformity Concept

The SRO is cracking down on dealer agreements with retail investors designed to shield firms from liability

Business man at a fork in the road

Industry has done a good job of regulating itself, says the OSC's Raymond Chan

Young Businesswoman Addressing Boardroom Meeting

A review found that 17% of board seats are now held by women, up from 15% a year ago

Block letters spelling fraud, with magnifying glass

Permanently banned from Ontario's markets, Tang may now be soliciting investors in Quebec

Business team with thumbs up

SRO wants to ensure fund reps' skills and industry knowledge remain up to date

rules and regulations written on folder

The shortcomings may be addressed through the CSA's client-focused reforms

blue curtain of a classical theater

The members of the Market Structure Advisory Committee were announced on Tuesday

REGULATION CONCEPT

Ontario hasn't reviewed securities regulations in 16 years

man opening curtain to reveal something

The regulator has unveiled the preliminary agenda for its annual conference

cannabis plant

Regulator says company executives diverted investor funds for personal gain