Financial firms, regulators remain operational in Ontario shutdown
Mortgage firm sold $26 million in securities to investors in the exempt market
Regulator says there's no evidence that shorts are driving markets down
Regulators are providing a 45-day extension
The pandemic's impact surpasses the rating agency's previous expectations
A whistleblower tipped off the SEC and assisted in an investigation
An IIROC panel found the firm deliberately decided not to comply with position cost reporting requirements
Enforcement to protect markets and consumers will continue, but routine work has been shelved until Sept. 30
The buy side spends more on tech for trading in less liquid assets
The ruling said there are other ways to determine whether the regulatory settlement was adequate