Three firms approved to serve as trade repositories for over-the-counter derivatives trade reporting in Canada
Hearing scheduled to consider the the regulator’s first ever no contest settlement
Turks & Caicos company used powers of attorney used to provide investment advisory services
Hearing into insider trading allegations to proceed
Two industry veterans join Investor Advisory Panel
Sandra Gale admits to breaching securities laws in selling Gold-Quest International securities
OSC overturns IIROC decision against Mark McQuillen
Northern Securities CEO in conflict of interest
The two men helped exempt market dealer Morgan Dragon raise over $5 million by selling LP units without filing a prospectus
Keith Summers fraudulently withdrew investors’ funds