Investor Advisory Panel calls on regulators to adopt a “best interest” standard as soon as possible
The conviction follows an OSC investigation into the sale of promissory notes offering 15% returns to investors
Registrants must not place their self-interest ahead of the interests of investors, OSC panel says
Proposed rules out for comment until May 22
OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees
Regulator alleges investment fund manager violated mutual fund sales practices rule
Senior citizen duped into paying $90,000 for worthless shares
The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings
The cryptocurrency firm is not registered in Ontario
The Ontario regulator seeks five mediators to join its roster