OSC

New classes on OSC’s roster

The Ontario Securities Commission is adding four new sessions to its Registrant Outreach program, which helps advisors strengthen their compliance practices.

By Staff |December 12, 2013

1 min read

Industry

OSC charges man with unregistered trading

The Ontario Securities Commission has charged Torontonian David Borg with an alleged breach of the Securities Act following an investigation by its joint serious offences team.

By Staff |December 11, 2013

1 min read

Industry

Confused about derivatives reporting? Attend OSC’s seminar

On January 15, 2014, the OSC is hosting a derivatives reporting seminar.

By Staff |December 10, 2013

1 min read

Industry

Top court limits multiple advisor penalties

If you violated Canadian securities law, would you rather live under the threat of being prosecuted for 74 years, or 12?

By Melissa Shin |December 5, 2013

4 min read

New derivatives rules from OSC

The Ontario Securities Commission (OSC) has published OSC Rule 91-506 Derivatives: Product Determination and OSC Rule 91-507 Trade Repositories (TR) and Derivatives Data Reporting (DR), the first set of harmonized derivatives rules which intend to bring greater transparency to the OTC derivatives market and pave the way for future rules.

By Staff |November 14, 2013

2 min read

OSC

New classes on OSC’s roster

OSC charges man with unregistered trading

Confused about derivatives reporting? Attend OSC’s seminar

Top court limits multiple advisor penalties

Update on OSC exempt market review

New derivatives rules from OSC

Retired FCAC commissioner joining OSC panel

Missed the OSC Dialogue? Check out the audio files

Are regulators doing their jobs?

Goldcorp chair settles with OSC for $200,000