Firm self-reported violations, took remedial action and is seeking EMD status
Observers aren’t surprised that the Ministry of Finance has yet to name a permanent leader for the OSC
The CSA, excluding the OSC, also urges Ontario to join its passport system
Halfway through an SRO ban, ex-rep agrees to new suspension
FAIR Canada supports tougher investor protection measures, but questions other proposals
Ontario's attorney general has recovered another $350K in a case where investors lost $1.7M
The exchange plans to adopt revised closing rules and functionality in October
Regulator reported a jump in filings in Q4
A former TD Bank compliance officer's unusual legal action has been rejected again
Ex-CEO sanctioned for trading after issuing misleading press releases