Annual compliance report emphasizes need for continuous cybersecurity training for dealer staff
SRO proposes consolidated rulebook, alongside end to dual registration
Agency sanctions breaches of anti-money laundering rules
New $300 fee per rep set to take effect April 1
Initial sanction allowed RRSP, but he traded TFSA, margin accounts too
OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation
Investor tried to argue that rep's title misled the courts
Tribunal made no error in overruling regulator, court finds
Regulators seek feedback on initiative that sparked little activity
Group calls on regulator to keep crypto relief focused, limited