The committee serves as a forum to discuss issues and challenges faced by registrants and provides feedback to regulators
The OSC aims to make the initial registration process for firms closer to an actual compliance review
Bank Gutenberg serviced accounts of several offshore corporations where at least one of the beneficial shareholders were residents of B.C.
Turks & Caicos company used powers of attorney used to provide investment advisory services
Amendments would expand firm’s obligations to verify the accuracy and completeness of info contained in applications for registration
Bank Leumi agrees to pay $500,000
Swiss bank settles with SEC over serving U.S. clients without proper registration
Proposal designed to ensure registration system continues to contain rep information critical to investor protection
Four new seminars added to assist registrants with strengthening their compliance practices
The proposed amendments aim to improve compliance and investor protection