enforcement

RBC Dominion Securities fined $350K for supervisory failings Fallback Image Decorative pattern

Industry

RBC Dominion Securities fined $350K for supervisory failings

In a settlement agreement with IIROC, the firm acknowledged it failed to adequately monitor suspicious account transfers

By Staff |July 27, 2021

3 min read

Fight over Bridging Finance evidence brewing Fallback Image Decorative pattern

Industry

Fight over Bridging Finance evidence brewing

The OSC is gearing up to oppose claims of improper disclosure

By James Langton |July 22, 2021

3 min read

Offshore firms pay $4M for unregistered trading of contracts for difference Fallback Image Decorative pattern

Industry

Offshore firms pay $4M for unregistered trading of contracts for difference

An OSC hearing panel approved a settlement and said the sanctions represent a deterrent

By James Langton |July 15, 2021

2 min read

Paying cash for enforcement tips is a success: OSC Fallback Image Decorative pattern

Industry

Paying cash for enforcement tips is a success: OSC

The regulator's whistleblower program has generated hundreds of tips and paid out millions in rewards

By James Langton |July 14, 2021

2 min read