Mark Steven Rotstein and his firm, Equilibrium Partners, admitted in OSC proceedings to trading without registration on behalf of clients
It was reasonable to use two different panels to conduct the merits and sanctions hearings, the court found
The firm spent $2 million on a conference that violated the rules and included lavish gifts for reps, including Dom Perignon, jewelry and golf outings
This week’s hearing stems from allegations Sentry violated the sales practices rules when it held a mutual fund conference in California
Behavioural insights have a role to play in producing better regulatory policy, suggests a new report from the OSC’s Investor Office
The regulator will also look at ways to be more responsive to solutions from the investment industry while maintaining appropriate investor protection
Certain uses of distributed ledger technology may trigger registration requirements, or the obligation to file a prospectus, the regulator states
Robert Hutchison and Mark Sandler both began two-year terms with the country’s largest regulator on Feb. 2
The candidates would fill upcoming vacancies on the panel as several members’ appointments are due to expire in May and October
RegHackTO revealed the importance of AI, open access to data and the potential of distributed ledger technology, new OSC report states