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Company: Ontario Securities Commission

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Registrant Advisory Committee calls for new members

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Inquiry follows exam cheating scandal, other auditor misconduct

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The CSA is reviewing distribution arrangements for in-house funds

crowd divided

Three in 10 investors were overconfident about their investment knowledge, but women and investors with advisors tended to be underconfident

  • By: IE Staff
  • September 7, 2022 September 7, 2022
  • 13:17

CSA demands pre-registration undertakings from firms to protect investors

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Regulators to prep industry for forthcoming conduct regime

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Following CBCA changes and CSA discussions, the government is consulting on requirements for federal-sector firms

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Enforcement penalties will be used to help fund the new SRO

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Pair ordered to pay $3.3 million in fines, costs and disgorgement

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PwC was also given a procedure to identify and quantify the claims from other Bridging investors