The settlement aims to resolve a series of alleged supervisory shortcomings.
Two IG affiliates failed to move eligible investors into a cheaper series of certain funds
IIROC correct in concluding that fromer rep was dealing with clients
The panel did impose conditions on the alternative trading service’s registration that relate to its provision of market data
Carlos Da Silva, who escaped Canada following his 2015 conviction, will be sentenced for defying a court order and failing to surrender to authorities early next year
Enforcement division releases report on priorities and enforcement activity
The SRO is better positioned to collect the sanctions it levies against individuals in Ontario: It now can enforce its disciplinary orders in court
Former advisor ordered to pay $800,000 penalty
Hanane Bouji’s conduct “is inconsistent with what is expected from an individual seeking to become a UDP,” according to an OSC hearing panel’s decision
The U.S. fixed-income trading firm has agreed to pay almost $1 million for failing to register as an exchange or investment dealer