The regulator pulled out all the stops to engage a wide range of contestants from the developer community, ranging from high-school students to a team from Deloitte
William Wallace and Robert Heward diverted funds raised in a gold mine promotion scheme
The BMO subsidiaries will also make a $2.1-million payment to the OSC and pay $90,000 in costs for overcharging certain retail clients
The firms face the prospect of regulatory sanctions for allegedly overcharging some retail clients
The regulatory roundtable discussion revealed the deep divisions within the investment industry concerning the prospect of the CSA introducing this standard
Although the Ontario court dismissed the appeals of a securities lawyer and three brokers, it found that the OSC hearing panel’s reasoning was flawed in the case of one broker
The RAC provides the regulator with feedback on policy from an investment industry perspective
Bay Street lawyer Phil Anisman and industry executive Frances Kordyback have begun serving two-year terms
The regulator’s notice examines several financial reporting issues, such as the use of non-standard accounting metrics
RegHackTo brings together innovators, strategists and developers to explore solutions to regulatory issues