Case claimed extra compensation for selling in-house funds harmed investors
Regulator claims rep traded, tipped inside info about cannabis company's plans
Expert analysis helped regulator uncover covert violations
The securities regulator has released its draft priorities for fiscal 2021-2022
OSC gives green light to trading in ESG bonds, starting in 2021
Fees will be reviewed after markets stabilize and the outcomes of the Capital Markets Modernization Taskforce are known
Behavioural techniques can help clients designate a trusted contact person, OSC research says
The Investor Advisory Panel will require new members over the coming year
The regulator has charged a fund manager with registration violations
Walied Soliman, chair of the Ontario Capital Markets Modernization Taskforce, offered a preview of the task force’s final report on Wednesday