Cooperation, coordination and consistency must improve across jurisdictions, Wilson says
The SAC provides advice to the commission and staff on a variety of matters including legislative and policy initiatives and capital markets trends. It also provides advice and comments on legal, regulatory and market implications of any aspect of commission rules, policies, operations, and administration. In addition, it is expected to provide general advisory services […]
Regulator recommends firms adopt key practices
The Ontario Securities Commission released a report today summarizing the operational activities of the corporate finance branch for the 2007 fiscal year.The branch is directly responsible for regulating 1,100 reporting issuers in Ontario and overseeing compliance with the province’s securities laws in the public and exempt markets.The annual branch report highlights the results of a […]
The Ontario Securities Commission has filed charges of violating securities law against Patrick Rooney, his wife Cynthia Jordan and five employees at Imagin Diagnostic Centres Inc.The company had raised $14 million from investors, of which $3.5 million was raised in Ontario, yet neither the staff or the company were registered in Ontario, the OSC said […]
The relief allows the funds to invest up to 20% of net assets in the debt issued, or guaranteed fully, by supranational agencies of foreign governments that are rated "AA"
Compliance team planning to update risk assessment models for investment counsel and portfolio managers and fund managers
Change reflects restructuring of capital markets branch into two new branches
Regulator considers judge's decision
Former chief geologist and vice chairman not guilty