Reciprocal bans placed on Michael Shantz, Canada Pacific
Eleanor Farrell, director, Office of the Investor, Ontario Securities Commission, discusses the consultation paper on the introduction of a statutory best interest standard for advisors and dealers. She outlines five concerns the Canadian Securities Administrators have with the current know your client, suitability, and know your product standard. Farrell spoke at the CIRPs annual conference in Niagara Falls, Ont.
Regulators aim to achieve a harmonized derivatives trade reporting regime across Canada
Regulator issues update on proposed enforcement initiatives in advance of policy meeting
Canadian-listed Chinese firm to pay $200,000 penalty, $100,000 in costs
Application deadline is July 2
Regulator calls conduct of Fernando Fagundes and New Futures Trading “abusive”
The OSC's proposed research is in the planning stage the goal will be to assess the suitability of advice given to clients
Policy implications are not limited to Ontario