The Ontario regulator seeks five mediators to join its roster
To date, none have been recognized as an exchange, or exempted from recognition
The mutual fund company has agreed to pay more than $1 million in penalties and costs for violating sales practices rules
Regulator alleges investment fund manager violated mutual fund sales practices rules
Hearing panel rules rep unsuitable based on a lack of proficiency and integrity
Regulator pledges to publish rule proposals for the introduction of a best interest standard in the coming year
Government plans to make it easier for clients to receive restitution, sharpen OSC’s enforcement teeth
Measures in the OSC’s Seniors Strategy are being adopted elsewhere
The Ontario Securities Commission’s Senior Strategy aims to address the changing needs and priorities of older individuals
Regulator outlines initiatives to respond to the needs of Ontario seniors and the investment industry