OSC

Jail for fraudster busted by OSC Fallback Image Decorative pattern

Industry

Jail for fraudster busted by OSC

Peter Siklos was sentenced to 60 days in jail and two years of probation today after pleading guilty to one count of fraud contrary to the Securities Act.

By Staff |June 11, 2014

1 min read

Give OBSI enforcement powers, says investor panel Fallback Image Decorative pattern

Industry

Give OBSI enforcement powers, says investor panel

There’s an elephant in the room, and the OSC’s Investor Advisory Panel (IAP) wrote a letter about it.

By Staff |May 22, 2014

2 min read

Prove you know your clients Fallback Image Decorative pattern

Planning and Advice

Prove you know your clients

When auditors come knocking, you need to provide comprehensive, updated account documents, as well as evidence that you’ve met with all clients at least once a year.

May 9, 2014

3 min read

SEC busts Toronto-based reverse merger schemes Fallback Image Decorative pattern

Industry

SEC busts Toronto-based reverse merger schemes

The Securities and Exchange Commission has charged a Toronto-based consultant and four associates with conducting illegal reverse merger schemes to bring a pair of China-based companies into the U.S. markets so they could manipulate trading and reap millions of dollars in illicit profits.

By Staff |May 5, 2014

3 min read