Ontario bans former Alberta representative from participating in capital markets

Inter-jurisdictional order mirrors Alberta Securities Commission sanctions in suitability case.

INVESTMENT | October 31 2023 09:54AM
Tribunal sets aside regulator’s decision and reduces disgorgement order

Finds that a permanent ban from registration was not harsh or excessive.

INVESTMENT | October 17 2023 03:50PM
Ontario Securities Commission publishes artificial intelligence report

Capital markets use cases, benefits and challenges examined to determine the need for governance.

SOCIETY | October 12 2023 10:30AM
Ontario Securities Commission publishes summary report

Investment fund and structured products branch says investor protection remains a top priority.

INVESTMENT | September 19 2023 10:36AM
Securities commission publishes compliance report for dealers and managers

Summary report intended to help registrants comply with Ontario securities laws.

INVESTMENT | July 28 2023 03:30PM
Serving clients without regulatory approval or adequate controls costs firm $100,000

Red Cloud Securities also ordered to disgorge more than $611,306 in commissions.

LIFE INSURANCE | July 25 2023 03:35PM
Association says advisory title fees in Ontario need rethinking

Strongly encourages regulator to provide an exemption to self-regulatory organization members.

SOCIETY | June 29 2023 10:49AM