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Keyword: Securities regulations

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flag of ontario flying high on a flag post, against blue sky

Report casts doubt on regulator’s independence

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Two of the entities operated as an exchange without regulatory approval, while the third had quarterly report inaccuracies

  • By: IE Staff
  • December 1, 2021 December 1, 2021
  • 13:36
Judge gavel, scales of justice and law books in court

The individual was worried that his testimony to the regulator could be used by U.S. authorities

confused man

An OSC Dialogue panellist highlighted the need for investor coaching

  • By: Katie Keir
  • November 24, 2021 November 24, 2021
  • 16:46
Financial stock exchange market display screen board on the street

The gross market values for the contracts were down across the board in 2021

Queen's park, Ontario

“Platform” legislation would grant the OSC broader rule-making power

a man on a precipice

Systemic risk to the industry remains, as crisis response measures have created vulnerabilities

REGULATION CONCEPT

Total cost reporting for seg funds as well as title regulation are on the docket for fiscal 2022–23

  • By: IE Staff
  • October 8, 2021 October 8, 2021
  • 13:52
metal scales of justice in court room

More than US$4 billion in total is expected to be returned to Madoff's investors

Bitcoin Electronic Crypto Currency Exchange Concept Illustration

The action involves online crypto-lending platform BitConnect and related individuals

  • By: IE Staff
  • September 2, 2021 September 2, 2021
  • 17:10