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Company: Ontario Securities Commission

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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

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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

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

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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