Says staff failed to provide sufficient detail
“More intuitive, easier to navigate”
An Ontario Securities Commission panel has upheld Market Regulation Services Inc.’s decision that trader Donald Greco engaged in front-running.Greco sought a review of RS’s decision against him, which found him guilty of front-running. It imposed a fine of $15,000, $10,000 for costs, disgorgement of $250 and a one-month suspension.The OSC upheld RS’s ruling, saying the […]
The Ontario Securities Commission has received good, but slightly lower grades, according to a report Thursday on stakeholder satisfaction.Stakeholders also strongly support the idea of a single national securities regulator, with uniform securities legislation across Canada.The report is based on a survey by Ipsos-Reid Public Affairs Canada of more than 1,300 individuals registered with the […]
Cheated 45 investors in Ontario and B.C. out of more than $2.4 million
Moved to September and November, respectively
Provincial committee struck to review recommendations of Crawford report
Review uncovers problems with compliance
Two-year terms for members
An Ontario Securities Commission hearing panel has ruled that merely arranging a meeting to hear about a possible investment opportunity does not necessarily constitute “acting in furtherance of a trade.”The decision, issued by the OSC Tuesday, concerns a couple (Leslie and Douglas Brown) who helped organize a seminar for an investment opportunity called the Flat […]