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
Prospective fund rep failed to disclose her prior employment in registration application
The current system is complicated and requires the search of several databases
Investors encouraged to check the registration of firms and individuals offering investment advice