Permanent trading and registration bans ordered against executives Miklos Nagy and Tony Sanfelice
The lawyers will join the OSC’s advisory committee on the operation of its in-house tribunal
Commission aims to clarify that in-house counsel can't collect a reward for reporting enforcement information in violation of law society rules
The Ontario Securities Commission (OSC) on Thursday announced the names four new members who will be participating on its securities advisory committee for the next three years. The committee provides advice to the OSC on legislative and policy initiatives, capital markets trends, and other issues. The new members include: Anita Anand, law professor, University of […]
The founders of North American Financial Group and North American Capital argued that a hearing panel’s and findings and penalty decision were unreasonable
Recognition will take effect March 1
OSC to hear both sides in case of advisor who accepted loan from clients
The allegations relate to the fraudulent sale of hundreds of millions of dollars of securities in two companies, O24 Pharma PLC and Canadian National TV Inc., to Chinese citizens.
Two Assante dealers to pay regulator and reimburse clients for alleged overcharging
An internal review discovered certain clients were not advised they qualified for lower-fee versions of certain mutual funds