Panel decision based on appropriate principles, OSC says
OSC to review decision
Lawrence Ritchie assumes role of executive vice president and senior policy advisor
The regulator is working to enhance the adjudicative case-management process to increase responsiveness and efficiency
OSC granted authority to take immediate action in extraordinary circumstances
Regulator releases final version of statement of priorities
The Ontario Securities Commission announced on Wednesday that it would consider reviewing a decision by an Investment Industry Regulatory Organization of Canada hearing panel regarding a Blackmont Capital Inc. trading officer.In a decision on March 31, the IIROC hearing panel found that Julius Caesar Philip Vitug, a trading officer, registered representative and associate portfolio manager […]
Vitug penalty hearing set for June 24
Regulator says company failed to meet disclosure requirements regarding risks related to seg funds
MFDA proposed amendment would permit remuneration to be directed to unregistered corporations, provided that certain conditions are met