IIROC panel decision “defensible”, OSC panel rules
The goal is to improve communication with dealers, fund managers and advisors
Lorne Banks solicited investors for schemes created by convicted fraudster Michael Chomica
Notice provides guidance on specific problem areas, in an effort to improve compliance
Notice sets out guidance for firms to ensure compliance with regulatory obligations regarding sales communications
Onix royalty units used to raise funds for encryption software business
Annual report stresses efforts to protect retail investors
Discussion will focus on whether dealers and advisors should be subject to a best interest standard when providing advice to retail clients, and the alternatives to such a standard
Hearing date set for Conrad Black, two former officers
The Ontario Securities Commission (OSC) is warning Ontario investors not to invest with Equity Star Momentum Growth Fund, which purports to be located in the United States. An Ontario resident was contacted by a representative of Equity Star via e-mail about an investment opportunity; however, Equity Star and its representatives are not registered to sell […]