OSC

Decorative pattern

Court denies appeal in client overcharging case

A former TD Bank compliance officer's unusual legal action has been rejected again

By James Langton |January 22, 2021

1 min read

Decorative pattern

Misleading news releases about pot sector draw regulator’s ire

Ex-CEO sanctioned for trading after issuing misleading press releases

By James Langton |January 22, 2021

2 min read

Task force recommends sweeping changes to OSC

Task force recommends sweeping changes to OSC

The proposals would radically alter securities regulation in Ontario

By James Langton |January 22, 2021

2 min read

Decorative pattern

Court orders trial to assess if investor was misled

Investor's sophistication at issue in unregistered trading scheme

By James Langton |January 18, 2021

2 min read

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OSC unveils new RAC members

Committee provides feedback on compliance and policy issues

By James Langton |January 8, 2021

1 min read

Decorative pattern

OSC stays IIROC sanctions against suspended rep

Pending a review, the regulator said the risk of harm to the rep outweighs the risk to the public

By James Langton |December 16, 2020

2 min read

Decorative pattern

Exempt market sees surge in individual investor activity: OSC

The volume and value of exempt financings was steady in 2019, while investor participation rose

By James Langton |December 10, 2020

2 min read

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Handover of syndicated mortgage oversight delayed until July

The OSC finalized rule changes that clarify which areas will stay under FSRA's jurisdiction

By James Langton |December 7, 2020

2 min read

Decorative pattern

Court rejects class action against RBC fund dealer

The firm was sanctioned by the OSC in 2018 for violating the sales practices rule

By James Langton |November 25, 2020

3 min read

Decorative pattern

Suspended fund rep faces OSC insider trading allegation

Regulator claims rep traded, tipped inside info about cannabis company's plans

By James Langton |November 17, 2020

2 min read

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