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
The Ontario regulator received 52 forms with 96 complaints
TD Waterhouse Canada was fined $4M earlier this year for failing to provide position cost
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
Proposed reform includes binding authority, higher compensation limits
Lessons can be learned from QuadrigaCX fraud
A supervisor in the firm's Calgary office has also been sanctioned
New guidance says compliance officers could serve at more than one firm