Turks & Caicos company used powers of attorney used to provide investment advisory services
Amendments would expand firm’s obligations to verify the accuracy and completeness of info contained in applications for registration
Bank Leumi agrees to pay $500,000
Swiss bank settles with SEC over serving U.S. clients without proper registration
Proposal designed to ensure registration system continues to contain rep information critical to investor protection
Four new seminars added to assist registrants with strengthening their compliance practices
The proposed amendments aim to improve compliance and investor protection
Consultant helped scholarship plan dealer meet the regulator's recommendations
OSC allows brokerage firm to remain registered despite insufficient capital
Consultation paper sets out recommendations on registration and regulation of firms trading in derivatives