Regulator alleges Richard Moore had knowledge of undisclosed material facts
Proposal outlines what the OSC considers in determining what constitutes a prohibited blanket order
Many firms have already capped their sales of “character conversion” funds
Regulator plans to conduct mystery shopping exercise to gauge suitability of investment advice
Prospective fund rep failed to disclose her prior employment in registration application
Investment clubs sold fractional interests in Belize and Dominican Republic properties to Ontario investors
Australia’s Medcraft takes over as chairman
Chairman Howard Wetston is the commission’s highest paid employee
Trading activity increased the monthly trading volume for Discovery Air shares by as much as 24% in one month
Bernard Boily to pay $750,000 for altering mining assay results