OSC

OSC looks at modernizing oversight of industry protection funds Fallback Image Decorative pattern

Industry

OSC looks at modernizing oversight of industry protection funds

Proposed changes include a requirement to report information security breaches

By Staff |April 25, 2019

1 min read

Provincial regulators sign agreement with U.K.’s FCA Fallback Image Decorative pattern

Industry

Provincial regulators sign agreement with U.K.’s FCA

Deal aims for cooperation between ‘regulatory sandbox’ initiatives

By Staff |April 18, 2019

1 min read

Registration opens for OSC roundtables Fallback Image Decorative pattern

Industry

Registration opens for OSC roundtables

Compliance issues, trading rules among the discussion topics

By Staff |April 18, 2019

2 min read

Firm settles with OSC over unregistered mortgage investments Fallback Image Decorative pattern

Industry

Firm settles with OSC over unregistered mortgage investments

The settlement agreement includes a $100,000 fine and a reprimand

By Staff |March 28, 2019

1 min read