The provincial regulator is likely to provide more guidance on mutual fund sales practice rule and seniors
Two Manulife dealer subsidiaries allegedly overcharged clients in fee-based accounts between 2005 and 2016
Electrovaya to enhance disclosure and corporate governance; CEO pays penalty
Helping set up website not a violation of securities laws, Ontario Court rules
A review led by OSC and AMF staff is being conducted this year with a target for mid-2018 for proposed rule amendments and comments
The amendments are intended to ensure the transition to the T+2 settlement cycle takes place on Sept. 5 and is harmonized with the U.S.
The regulator’s final statement of priorities, published on Thursday, also includes a commitment to deal with embedded commissions
Resale of foreign securities would be simplified under CSA and OSC amendments
The OSC has now reached no-contest settlements with all of the big banks and several other firms, generating about $342 million in compensation
The three companies in question self-reported inadequacies in their systems that resulted in some clients paying excess fees