OSC sanctions K2, executives for manipulative options trading
Administrative penalties total nearly $1 million
- October 19, 2018 October 19, 2018
- 17:15
Administrative penalties total nearly $1 million
The innovation hub replaces a number of SEC working groups
Ontario woman guilty of selling fraudulent promissory notes
Industry group calls for joint CSA/SRO committee to receive feedback and guidance
Proxy advisor firm kicks off 2019 benchmark policy consultation
Today’s notice sets out the responsibilities of industry firms and regulators in dealing with a market disruption
Applicants should have an excellent knowledge of Ontario securities law and significant practice experience in securities litigation
Revisions designed to address key weaknesses exposed by the financial crisis
NYSE Arca and Nadaq failed to prove fees challenged by SIMFA were fair
One client lost $30,000 and another lost $212,000 as a result of advisor’s misconduct