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Company: Ontario Securities Commission

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Fintech Investment - group of people in meeting with abstract charts and graphs on table

FAC advises OSC LaunchPad staff on fintech developments and challenges faced by start-ups

High angle view of mallet eyeglasses legal book in courtroom

Michelle Dunk has breached previous bans

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

The MFDA had previously banned the rep in 2012

Businessmen trading stock looking at graphs indexes and numbers on multiple computer screens

Although retail investors account for a tiny share of the capital raised, they represent 77% of the number of investors in the exempt market

Canadian money, twoonies, coins, calculator on desk

More knowledgeable investors are more likely to plan ahead, feel more in control of their finances and report lower stress about finances

Block letters spelling fraud, with magnifying glass

Daniel Reeve is serving a 14-year sentence for fraud

gavel with $100-bill background

The commission has reprimanded the portfolio manager for failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs

Proposals out for comment until Dec. 24

Gavel and judgement on desk

Portfolio manager accused of failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs

Supreme Court of Canada building in Ottawa

Many hurdles remain for the CMRA before it becomes a reality