Rathore, Petrozza and Maloney to jointly pay penalty of $250,000 for illegal distribution of securities
As the Ontario Securities Commission looks to introduce “no contest” settlement agreements in a bid to improve its enforcement performance, this type of settlement is coming under fresh fire in the U.S., where it’s already well established.
OSC approves amendments to Toronto Stock Exchange rules
The Ontario regulator has suspended the registration of Blueport Capital and John Hare
The proposed acquisition of Alpha by Maple Group may have implications for governance and conflicts of interest mechanisms in place for exchanges
Combining trading and clearing would create efficiencies and those cost savings would be passed along to market participants
Sentencing makes it clear that the courts take these matters seriously, says OSC’s Atkinson
ICBC wants to make it easier for MGAs to report bad agents directly to the regulators
Oral disclosure of Duic investigation to Rankin’s legal counsel deemed sufficient
SROs to share information on firms and individuals, and collaborate on investigations and enforcement matters