OSC

Concerns follow regulators’ survey of mutual fund reps Concerns follow regulators’ survey of mutual fund reps

Regulation

Concerns follow regulators’ survey of mutual fund reps

Findings put bank branches’ proprietary shelves back in the spotlight, highlight lack of MER knowledge

By Michelle Schriver |October 29, 2025

7 min read

Woman sanctioned for insider trading Woman sanctioned for insider trading

Regulation

Woman sanctioned for insider trading

Pair traded ahead of Penn Gaming's bid for Score Media in 2021: OSC

By James Langton |October 27, 2025

1 min read

OSC flags concerns with firms’ digital tactics OSC flags concerns with firms’ digital tactics

Regulation

OSC flags concerns with firms’ digital tactics

Firms using digital engagement practices for good and ill, review finds

By James Langton |October 22, 2025

2 min read

OSC says it’s conducting compliance exams on sales practices at Big 5 fund dealers OSC says it’s conducting compliance exams on sales practices at Big 5 fund dealers

Regulation

OSC says it’s conducting compliance exams on sales practices at Big 5 fund dealers

Regulator clarifies its response to concerns arising from survey of mutual fund reps

By Michelle Schriver |October 10, 2025

3 min read