OSC sought fine but court ordered a suspended sentence
The CSA and CIRO will consider such awards a compliance issue
Regulator insists cryptoassets were securities, despite efforts to skirt that designation
Clients were invested in a fund that was too risky given their profiles
BCSC sanctions offside online influencing
Former Scotia Capital rep sanctioned in settlement with CIRO
Casino closures during the pandemic forced illicit activity into different spaces
Firm admitted to serving retail investors before SRO approvals, systems in place
Former Toronto mayoral candidate may have a case for breach of privilege by OSC staff
Reforms give the regulator enhanced powers to sanction uncooperative witnesses