Exemptions from securities law do not apply to David Phillips, OSC says
Regulator says perpetrators posed as OSC staff
OSC hosts meeting to discuss technical issues relating to implementation efforts
Ontario regulator proposes a variety of governance conditions for approval of deal
The director of the Office of the Investor will be responsible for advancing investor interests in all OSC policies and operations
Sternberg, Parkwood and Philco banned from registration
The firm, its CEO and chairman admit to breaching KYC and suitability obligations
The OSC's plan to open its new Office of the Investor on April 1 has not materialized, but it remains a top priority
Richvale and its president defrauded investors of over $750,000
Xanthoudakis and Smith had alleged bias in OSC proceedings