Home Regulatory Page 35

Keyword: Regulatory

1707 results found
Business young people in the job interview, signed an employment contract with boss in the office

SRO proposes early adoption of provisions from plain language rewrite

OSC staff cited integrity concerns when recommending against registration for man with child porn conviction

stack of documents or files, overload of paperwork on black background

The Ontario regulator received 52 forms with 96 complaints

  • By: Staff
  • July 20, 2020 July 20, 2020
  • 15:26
Lawyer

TD Waterhouse Canada was fined $4M earlier this year for failing to provide position cost

Online banking businessman using smartphone with credit card Fintech and Blockchain concept

The regulator also alleges that more than 90% of the firm's crypto trading volume was fake

Nominations for market reg and fixed-income committees due Aug. 21

Multiracial business meeting in boardroom, sitting at a table

Proposed reform includes binding authority, higher compensation limits

Bitcoin exchange to dollar rate on monitor display on July 2017 in NYC

Lessons can be learned from QuadrigaCX fraud

Individuality

A supervisor in the firm's Calgary office has also been sanctioned

Files being analyzed

New guidance says compliance officers could serve at more than one firm