Ex-CEO sanctioned for trading after issuing misleading press releases
The proposals would radically alter securities regulation in Ontario
Investor's sophistication at issue in unregistered trading scheme
Committee provides regulator with feedback on compliance, policy issues
Three join advisory committee for OSC's adjudicative role
Subsidiaries allowed institutional investors to trade before getting the regulator's approval
Firm ignored clients' investment limits to prop up failing penny stock, regulator alleges
The two firms failed to receive approval before providing institutional investors with trading access
Risk of harm to disciplined rep outweighs risk to public, regulator finds
The volume and value of exempt financings was steady in 2019, while investor participation rose