The regulator first issued AML compliance guidance in 2010
The long-awaited rules could be coming soon, according to the director of the OSC's derivatives branch
The province has proposed changes to its securities legislation
The regulator is also considering the CSA’s proposal to ban trailers paid to discount brokers
The securities commission says it will continue its investigation
Retail investors were allegedly charged for active management they did not receive
A new report outlines 107 recommendations aimed at reducing the regulatory burden
Firm had been suspended since Dec. 2015
The Securities Proceedings Advisory Committee provides advice on policy and procedural initiatives
An individual and a firm must pay almost $2.75M