Whistleblower

Industry

OSC makes $7.5M payout in three whistleblower cases

The rewards are the first under the regulator's program, launched in 2016

By James Langton |February 27, 2019

2 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 whistleblower program less than meets the eye

Why it doesn’t impress

By Al and Mark Rosen |November 25, 2016

4 min read

Industry

How to blow the whistle

Are you prepared to participate in the OSC’s new program?

November 4, 2016

7 min read

Industry

SEC has a busy year of cases against advisors

The SEC investigated a record-breaking 160 cases against advisors in the past year.

By Staff |October 12, 2016

9 min read

Industry

Casino company retaliated against whistleblower: SEC

Casino-gaming company International Game Technology (IGT) has agreed to pay a half-million dollar penalty for firing an employee with several years of positive performance reviews because blew the whistle. The employee reported to senior management and the SEC that the company’s financial statements might be distorted. In its second whistleblower retaliation case since the Dodd-Frank […]

By Staff |September 30, 2016

2 min read

Industry

OSC’s whistleblower program open for business

Protection is twofold, with provisions for confidentiality and anti-retaliation.

July 15, 2016

2 min read

Industry

OSC whistleblower program released

01 CSA publishes more research on mutual fund fees On October 22, CSA published new, independent research on how commissions affect mutual fund sales. The research follows a CSA literature review published in June. The research finds that positive past performance drives mutual fund flows; however, past performance affects flows differently, depending on fee structure: […]

December 11, 2015

6 min read