Three sessions designed to strengthen compliance practices
Trading bans imposed on former advisor, promoters
Paul Yoannou was previously convicted of 15 counts of fraud
Having trailing commissions embedded in a fee-based series is “potentially misleading for investors”
The CSA and Bank of Canada have developed guidance to clarify new global standards in the Canadian context
The combined operations will be rebranded as the Office of Investor Policy, Education and Outreach
Agreement intended to ease cooperation on investigations, litigation
Lenny Gaudet alleged to have sold shares in Intrinsic Minerals to four Ontario investors despite trading ban
The former hospital work is alleged to have sold maternity patient information to a RESP reps
OSC approves no-contest settlement