Home Ontario Securities Commission Page 191

Company: Ontario Securities Commission

2148 results found

TD Waterhouse to pay $375,000 in OSC settlement

Admits failure to comply with suitability obligations

By: IE Staff
October 3, 2005 October 3, 2005
07:30

OSC Securities Advisory Committee gets new blood

Six members joining SAC

By: IE Staff
September 23, 2005 September 23, 2005
14:45

Deficiencies found in fairness policies

OSC conducts money manager review

By: James Langton
September 23, 2005 September 23, 2005
14:30

OSC approves settlements with Affinity Financial and its principals

Regulator revokes registration, invokes permanent cease-trade orders

By: IE Staff
September 22, 2005 September 22, 2005
15:35

OSC to review settlement reached with Affinity Financial

Investor funds sent to U.S. disappeared

By: IE Staff
September 20, 2005 September 20, 2005
12:10

Court overturns OSC decision

Says Phillip Services documents remain privileged

By: James Langton
September 2, 2005 September 2, 2005
15:20

OSC issues warning on “phantom regulators”

Commission offers tips to investors

By: IE Staff
August 30, 2005 August 30, 2005
09:50

CSA moves to implement passport system

OSC declines to participate

By: James Langton
August 26, 2005 August 26, 2005
09:20

OSC approves settlement with former Thomson Kernaghan CEO

Simpson permanently banned from registration

By: IE Staff
August 17, 2005 August 17, 2005
15:20

OSC to review settlement with former Thomson Kernaghan CEO

Regulator alleges Simpson failed to supervise Valentine

By: IE Staff
August 15, 2005 August 15, 2005
16:30