Tag: OSC
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OSC to focus on investor protection and advisor compensation
The Ontario Securities Commission (OSC) has revealed where it plans to focus its efforts during the next twelve months, and investor protection and advisor...
Former RBC and Scotia adviser lands in regulatory crosshairs for third time
A former adviser at RBC Dominion Securities Inc. and Scotia Capital Inc. is alleged to have “impersonated his clients” at a firm he started...
Spoofing | Regulators Clamp Down on Deceptive Trading
Spoofing, it may sound harmless and frivolous, but it’s no joke. Canadian financial regulators are clamping down on the deceptive trading practice, which has...
Maureen Jensen to head the OSC
The government of Ontario has nominated Maureen Jensen to be the new chairwoman and CEO of the Ontario Securities Commission (OSC).
Last week, Ontario nominated...
OSC reaches deal in alleged ‘spoofing’ case
Staff of the Ontario Securities Commission have reached a settlement agreement with the owner of day-trading company in the first case of alleged “spoofing”...
