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Company: Ontario Securities Commission

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Whistleblower

OSC’s offer of financial compensation has generated 200 tips resulting in several active investigations

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The top reason among investors for buying into cryptoassets was interest in new technologies followed by speculation

Investment Executive July 2018 front cover

Establishing “harm” is no easy task

Downtown office buildings Toronto

Mountain worked on proposals to change the mutual fund fee structure and reduce regulatory burden for investment fund issuers for the past two years

  • By: IE Staff
  • June 18, 2018 August 1, 2018
  • 16:25
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Regulator to consider allegations against portfolio and investment manager at July 3 hearing

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The case highlights the lack of governance requirements for mutual funds that distribute securities in the exempt market

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Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds

Senior people walking on the beach

The seniors expert advisory committee includes representatives from the legal, medical and academic communities, along with investment industry and seniors advocates

RBC logo Royal Bank of Canada sign

The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds

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Clayton Smith engaged in fraud, regulator alleges