Loss of third-party fund distribution seen as "unintended consequence" in 2018
The SRO has elected to maintain more prescriptive guidance around KYC reviews
The regulator issued more administrative sanctions in 2020–21 than the previous year but monetary sanctions were way down
Court gives nod to receiver's plan to find counsel for investors
A virtual panel will examine a range of regulatory issues driven by the rise of ESG investing
The ruling includes investment limits, disclosure rules and regulatory reporting conditions
Receiver to seek extension for advisory committees, approval for process to find investor counsel
Judge asks PwC to provide input on counsel for investors
B.C. court dismisses appeal in "enhanced compensation" case
Annual report from OSC compliance branch signals exam targets for the year ahead