Joe Dwek agrees to pay $200,000 for compliance deficiencies
Regulator alleges compliance deficiencies at three firms headed by Joe Dwek
TransCap and Strata-Trade misled investors in Ponzi scheme
One-time relief on participation fees for small dealers, portfolio managers and reporting issuers
Convicted fraudster illegally sold $474,000 in securities of Go Sports Entertainment
Fourth annual Summary Report for Investment Fund Issuers outlines policy initiatives
Panel calls on OSC to address OBSI’s inability to enforce recommendations for investor compensation
OSC hands down orders against Victor DeLaet and Stanley Gitzel
The change helps streamline the document submission process, while improving compliance and enforcement capabilities
Many smaller mining issuers struggle with providing complete and meaningful MD&A disclosure