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
Handover for mortgage investments from FSRA to OSC knocked to July
Working capital deficiency and other compliance issues led to suspension
Executive director says funding will provide stability for the organization
Case claimed extra compensation for selling in-house funds harmed investors
Regulator claims rep traded, tipped inside info about cannabis company's plans