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Keyword: Registration

164 results found
gavel

An OSC hearing panel approves a settlement and says the sanctions represent a deterrent

social media

Regulators issued a guidance directed at social media "finfluencers"

Bitcoin

Two more foreign firms were charged with running an unregistered trading platform

Pile of cryptocurrency coins

The regulator extended a temporary regime for cryptos amid anti-money laundering troubles

rules and regulations

The CSA, excluding the OSC, also urges Ontario to join its passport system

rules and regulations

Proposals would focus outside activity reporting, curb duplicate filings and enhance business title reporting

Green growth curve

Lack of rules leaves ratings open to conflicts and investor confusion

Grand opening, cutting red ribbon

Committee provides regulator with feedback on compliance, policy issues

Judge gavel, scales of justice and law books in court

The regulator has charged a fund manager with registration violations

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

OSC report details improvement, along with persistent compliance issues