OSC

Industry

OSC seeks applications for investor advisory panel

Applicants must apply by Oct. 26

By Staff |September 26, 2018

1 min read

Advisor's Edge

The way the whistle blows

Comparing the success of investor protection programs in Canada and the U.S.

By Al and Mark Rosen |September 21, 2018

4 min read

Industry

OSC appoints members to seniors expert advisory committee

Committee's specialized input supports efforts to serve older investors

By Staff |September 12, 2018

1 min read

Industry

OSC fines former Aston Hill CEO $125,000 for misleading statements

A former CEO has been fined $125,000 for misleading OSC staff during an insider trading investigation, an OSC hearing panel said. From 2006 to 2014, Eric Tremblay was CEO and chairman of the board of Aston Hill Financial Inc. (AHF) and the ultimate designated person of Aston Hill Asset Management Inc. (AHAMI), a subsidiary of […]

By Staff |September 4, 2018

2 min read

OSC maintains regulatory fees for next two years

Participation and activity fees will stay the same for the next two years, the OSC said Thursday. Participation fees pay for regulatory services while the flat-rate activity fees cover the costs of reviewing regulatory documents. The rates for both will stay the same for the next two-year period beginning April 1. Market participants fund the […]

By Staff |March 15, 2018

2 min read

Members appointed to OSC’s fintech advisory committee

New members have been appointed to the OSC’s fintech advisory committee (FAC), which advises OSC staff on developments and trends in the fintech space, as well as the unique challenges encountered by innovative businesses in the securities industry. Read: Investing in fintech? Firms cite regulatory as a barrier to evolving Members are: The FAC meets […]

By Staff |February 7, 2018

1 min read

In-house counsel can’t blow the whistle: OSC

When it comes to whistleblowers, the OSC wants to make clear that in-house counsel aren’t eligible for rewards. Read: How to blow the whistle The commission has published a proposed change to its whistleblower program, with a 60-day comment period. The whistleblower program already excludes those who obtained information while providing legal services to the […]

By Staff |January 18, 2018

1 min read

OSC

OSC seeks applications for investor advisory panel

The way the whistle blows

OSC appoints members to seniors expert advisory committee

OSC fines former Aston Hill CEO $125,000 for misleading statements

Former FAIR Canada head to chair OSC’s Investor Advisory Panel

OSC maintains regulatory fees for next two years

Members appointed to OSC’s fintech advisory committee

OSC hands out bans, $5 million in sanctions for fraud

New members named to OSC’s SPAC

In-house counsel can’t blow the whistle: OSC