The would-be rep falsely reported that she was sentenced to community service when she was actually ordered to serve time in jail
The agreement establishes a framework for consultation, co-operation and information-sharing between the OSC, BaFin, and the Bundesbank
The OSC is expected to publish an update in late spring about how it will proceed with embedded commissions
$70,000 has been seized in the case involving Rezwealth Financial Services Inc. and several other firms and individuals
Alleged bitcoin multi-level marketing scheme targets investors
Members represent a a broad spectrum of the fintech community, from startups to financial institutions
A report from the regulator echoes the conclusion of a earlier report from IIROC
The allegations relate to the sale of over $800,000 worth of securities in MultiCast Networks
Two financial industry veterans and one academic bring longstanding expertise in securities law
An OSC panel was reasonable in concluding that advisors should have known they were acting on inside information