Compliance

Genus Capital Management to pay back $1.67 million to clients in settlement with BCSC Fallback Image Decorative pattern

Industry

Genus Capital Management to pay back $1.67 million to clients in settlement with BCSC

The violation involved using 'soft dollars' to develop in-house software

By James Langton |July 19, 2019

2 min read

Former planner ordered to pay more than $3 million Fallback Image Decorative pattern

Industry

Former planner ordered to pay more than $3 million

The ASC also ordered a permanent ban over the fraudulent investment scheme

By Staff |June 27, 2019

2 min read

OSC drops late filing fees for outside business activities Fallback Image Decorative pattern

Industry

OSC drops late filing fees for outside business activities

The change will result in more than $700K of savings for registrants

By Staff |May 15, 2019

1 min read

How the OSC is approaching regulatory burden Fallback Image Decorative pattern

Industry

How the OSC is approaching regulatory burden

A special advisor to the commission shares what the OSC might change

By Rudy Mezzetta |May 8, 2019

2 min read