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 […]
Only one comment letter received, from Swift Trade Securities Inc.,
No new types of problems, but what’s out there is more widespread
Monarch Delaney says compliance issue resolved by time it was reported; OSC stands by its order
Commission releases statement of priorities for 2004/2005
Firm ordered to be removed as counsel to Credit Suisse First Boston
Another settlement reached with a fund manager