Home Ontario Securities Commission

The founders of North American Financial Group and North American Capital argued that a hearing panel’s and findings and penalty decision were unreasonable

FPSC, IQPF issue updated guidelines for financial planners

Recognition will take effect March 1

BMO GAM’s Ross Kappele elected IFIC chairman

OSC to hear both sides in case of advisor who accepted loan from clients

The allegations relate to the fraudulent sale of hundreds of millions of dollars of securities in two companies, O24 Pharma PLC and Canadian National TV Inc., to Chinese citizens.

IIROC reaches settlement with three former All Group reps

Two Assante dealers to pay regulator and reimburse clients for alleged overcharging

BMO GAM’s Ross Kappele elected IFIC chairman

An internal review discovered certain clients were not advised they qualified for lower-fee versions of certain mutual funds

IIROC correct in concluding that fromer rep was dealing with clients

A volunteer minister is prohibited from having members of his church as clients

Tim Moseley brings his extensive securities litigation expertise, regulatory background and experience in enforcement and global business environments to the role

Report offers insight into the decisions Ontario millennials are making when it comes to saving and investing