The three firms also agreed to make a $3-million payment to the OSC and to pay $50,000 in costs for their role in overcharging clients
OSC hearing scheduled for Friday
OSC LaunchPad aims to help fledgling fintech companies navigate the complex world of securities laws and help them get to market faster
The SPAC advises the commission on a variety of policy and procedural initiatives relating to proceedings before the OSC’s administrative tribunal
CSA protocols intended to improve the accuracy, reliability and transparency of shareholder votes
The commission’s decision was “justified, transparent and intelligible,” court says
The new head of Canada’s largest securities enforcement program has had an extensive career in securities enforcement, litigation and criminal law
In addition, the regulator’s whistleblower program, introduced this summer, has already received more than 30 tips from prospective whistleblowers
The committee provides feedback on issues that impact registered firms, including registration and compliance-related topics
PlanPlus’s Shawn Brayman honoured for research into risk profiling, and its role in the advice process in Canada