OSC

Educate clients on risk of loss, OSC roundtable urges Fallback Image Decorative pattern

Industry

Educate clients on risk of loss, OSC roundtable urges

Risk profiling is a complex, multidimensional process that combines many factors, both subjective and objective, to create an overall assessment of the most appropriate level of risk for an investor. Read: Rethink risk tolerance questionnaires The Investor Advisory Panel (IAP), an independent committee established by the Ontario Securities Commission, has released a report on the […]

By Staff |January 23, 2017

2 min read

OSC adds new members to Securities Advisory Committee Fallback Image Decorative pattern

Industry

OSC adds new members to Securities Advisory Committee

The Ontario Securities Commission has named the new members of the Securities Advisory Committee (SAC) for the 2017-2020 term.

By Staff |January 13, 2017

1 min read

Two men sentenced to jail over fraud convictions Fallback Image Decorative pattern

Industry

Two men sentenced to jail over fraud convictions

The Ontario Securities Commission has announced that William Wallace and Robert Heward were each sentenced to four years in jail, and ordered to pay restitution in the amount of $6,672,955.48 by Justice McLeod at the Ontario Court of Justice in Toronto, Ontario, following convictions under the Securities Act (Ontario).

By Staff |December 20, 2016

2 min read

Court dismisses appeal by former First Leaside Group reps Fallback Image Decorative pattern

Industry

Court dismisses appeal by former First Leaside Group reps

The Superior Court dismissed the appeal to set aside the OSC's findings of securities fraud and misrepresentation, and the disgorgement ordered.

By Staff |December 20, 2016

1 min read