Campaign cautions investors to avoid fraud
New regulations cover takeover and issuer bids
Beck hearing scheduled for January
Angus appointment takes effect in January
Consistency across jurisdictions proved the biggest challenge, panel says
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 […]