$500,000 penalty a strong deterrent, OSC panel says, and the firm has spent substantially more to upgrade its systems
Court orders Daniel Tiffin to pay restitution to clients who purchased promissory notes
The committee serves as a forum to discuss issues and challenges faced by dealers and fund managers
Daniel Reeve was found guilty of defrauding victims of $10 million through several Ponzi schemes
Members will be selected to represent a broad range of relevant experience, skills, knowledge and perspectives
New members include experts in aging and health, investor advocates and industry personnel
Global regulators and industry executives will address opportunities and challenges in capital markets
The proposed changes aim boost trading volume and enhance market quality
Neil Gross has served on the Ontario Securities Commission’s IAP since November 2017
Some registered firms are not establishing an adequate compliance system