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Administrative penalties total nearly $1 million

  • October 19, 2018 October 19, 2018
  • 17:15

The innovation hub replaces a number of SEC working groups

  • October 19, 2018 October 19, 2018
  • 15:00

Ontario woman guilty of selling fraudulent promissory notes

  • October 19, 2018 October 19, 2018
  • 12:10

Industry group calls for joint CSA/SRO committee to receive feedback and guidance

  • October 19, 2018 October 19, 2018
  • 10:30

Proxy advisor firm kicks off 2019 benchmark policy consultation

  • October 18, 2018 October 18, 2018
  • 14:00

Today’s notice sets out the responsibilities of industry firms and regulators in dealing with a market disruption

  • October 18, 2018 October 18, 2018
  • 11:30

Applicants should have an excellent knowledge of Ontario securities law and significant practice experience in securities litigation

  • October 17, 2018 October 17, 2018
  • 16:15

Revisions designed to address key weaknesses exposed by the financial crisis

  • October 17, 2018 October 17, 2018
  • 15:10

NYSE Arca and Nadaq failed to prove fees challenged by SIMFA were fair

  • October 17, 2018 October 17, 2018
  • 10:45

One client lost $30,000 and another lost $212,000 as a result of advisor’s misconduct

  • October 16, 2018 October 16, 2018
  • 15:30