Regulator will contact some clients directly to confirm KYC information on file
The EMAC will inform OC staff on regulatory approaches to the capital raising segment of the exempt market
Regulator imposes sanctions in TBS New Media advance fee scam
Howard Wetston given two-year extension
Regulator tells compliance officers it has observed “significant deficiencies” at investment firms
Hearing scheduled for June 25
OSC orders Sextant Capital to disgorge millions of dollars in fees
The order against Nicholas Reeves reciprocates a penalty that was imposed by the ASC in 2011
OSC panel concludes that a ‘Wells Process’ is not required in Ontario
Regulator says former executives attempted to mislead its investigation