Firm provided advice on municipal offerings that needed registration
Exchange looks to streamline application, approval processes
Firm qualified for Northwest exemption, but didn't submit reports: BCSC
Ontario courts have rejected crypto firm's effort to mandate arbitration
Regulator settles with crypto firm, cutting sanctions
Panel rejects OSC's allegations on unregistered trading, other breaches
Proposals aim to guard rating independence, boost transparency
Company illegally distributed securities, misled investors, regulator alleged
Firm breached rules by allowing trading in unregistered binary options
New agenda outlines plans to curb compliance burden, facilitate innovation