A proposal to charge fees based on historical data means firms’ payments will be based on previous highs
Prevention efforts necessary to protect investors
Thakur had unauthorized access to confidential e-mail, OSC alleges
Firm admits it mislead investors
KPMG was appointed receiver and manager of all of the property of New Life Capital Corp. and its related entities by the Superior Court of Justice this week.The court approved the Ontario Securities Commission’s application to order the appointment on Wednesday. New Life, a Toronto-based group of companies that provides niche services in the life […]
Settlements provide an opportunity for early resolution of matters before the formal commencement of proceedings
The Ontario Securities Commission has filed an application with the Superior Court of Justice seeking an order appointing a receiver and manager of all the property and assets of New Life Capital Corp. New Life is registered with the OSC as a Limited Market Dealer. The matter will be heard before the Superior Court of […]
OSC obtains court order
The Ontario Securities Commission has filed an application with the Superior Court of Justice seeking an order appointing a receiver and manager of all the property and assets of mutual fund dealer ASL Direct Inc. The matter will be heard before the Superior Court of Justice in Toronto on Nov. 4, the OSC announced on […]
The Ontario Securities Commission has approved a memorandum of understanding with Quebec’s Autorité des marches financiers, which sets out how they will cooperate to oversee TMX Group Inc.The MOU sets out a process for coordination between the OSC and the AMF in the event that someone proposes to own more than 10% of TMX Group. […]