Deception reveals compliance violations
Wesley Weber charged following JSOT investigation
Questionnaires consist of too few and poorly worded questions
Quadrus to pay clients $8 million in compensation
Quadrus self-reported that its funds indirectly overcharged certain clients
Under the OSC's plan, a tipster could receive a $5-million award
The goal is to increase transparency and efficiency in the OTC derivatives market while aiming to preserve the anonymity of counterparties
The new office will lead the commission’s efforts in investor education, and advocate for investor protection
The charges follow an investigation by the OSC’s Joint Serious Offences Team
Former executives David Phillips and John Wilson get $18 million penalty for fraud