The former advisor claimed the $16,000 he received was a gift
The bank's traders placed orders for futures contracts with intention to cancel, the CFTC says
The inadequate supervision involved suitability, concentration in sector funds
Comments on proposed requirements are due in November
There are two openings on the distribution issues committee
Fund dealer admits to not fully investigating suspected rep misconduct
Regulator to hold hearing for Canadian serving time in U.S.
OSC publishes guide for online proceedings
The OSC didn't make errors or deny fairness, the court said
The order was issued in response to the effects of Covid-19 on small businesses