The committee serves as a forum to discuss issues and challenges faced by registrants and provides feedback to regulators
The B.C. court rules investor was “contributorily negligent”
Bill Gross to lead firm’s efforts to focus on fixed income markets
A possible judicial review of the OSC’s decision is pending
The firm is changing the investment objectives of funds impacted by measures introduced in the 2013 federal budget
The suspensions are part of the regulator’s continued focus on surveying the penny stock market for suspicious activities
Many of the more serious compliance concerns involve exempt market dealers
The OSC aims to make the initial registration process for firms closer to an actual compliance review
New oversight considered for oil, gold markets
Bank Gutenberg serviced accounts of several offshore corporations where at least one of the beneficial shareholders were residents of B.C.