Hybrid model raises questions about the current regulatory framework for visible and dark liquidity
MOU includes mechanism for resolving disagreements about proposed changes
Commission finds Sandy Winick engaged in unregistered trading and illegal distributions, and participated in a fraud
Jan Chomica carried out the instructions of her brother, Michael Chomica, who ran two advance fee schemes
Carnwath withdraws from panel amid allegations of bias
Proposal would require TSX-listed to companies to provide disclosure regarding women on boards and in senior management in Ontario
Sanctions to be determined at a future hearing
One of the arguments from the financial services industry against some of the more radical reforms currently under consideration is that regulators should wait and see whether changes already in the works will solve their concerns. If so, some suggest, more invasive interventions may be unnecessary. For example, at an industry roundtable hosted by the […]
There are few, but notable, objections to the OSC's proposals
David Pelcowitz to pay $1 million over IMG International advance fee scheme