They expect outsized returns from low-risk vehicles.
OSC chair and CEO Maureen Jensen delivered her first keynote address yesterday.
Sawisky admitted that he failed to learn essential facts about two clients and failed to ensure that securities held by and recommended to those clients were suitable for them.
IPC Securities Corporation admitted that it failed to conduct strict supervision of a Registered Representative pursuant to an acknowledgement and consent provided to IIROC.
Learn about new border-crossing requirements that will be enforced by the end of the month.
Following a disciplinary hearing held on June 22 in Toronto, an IIROC hearing panel found Rizwan Suleiman altered a document and provided it to his Dealer Member firm.
Since 2008, Canada's banks and financial sector have been praised. But a new federal review will put the sector to the test.
In its annual report, OSC says collections of monetary sanctions improved in 2016. Find out why.
The consolidated rules will be implemented September 1, 2016, except Rule 8300, which is effective immediately.
A British Columbia Securities Commission panel has issued financial sanctions and market bans against Thomas Arthur Williams and his group of companies for fraud and illegal distributions.