Company: Ontario Securities Commission

2033 results found
Oversight direction

OSC asked to review OM exemption, beneficial ownership registry being examined

Gavel and Money - Canada stock photo

OSC proved most of its case against failed firm's founders, panel ruled

whistle blower

Regulator calls for more enforcement tips on emerging issues

Computer with financial growth

Regulator details vision for retail funds that hold long-term assets

environmental assessment

Regulator to embed ESG considerations into compliance, enforcement work

calendar court

CIRO must get on with the enforcement proceeding, if that's what it intends to do

Judge looks at papers

Regulatory order breach results in fine, disgorgement and a new ban

Businessman shamed

Regulator charges Weizhen Tang with breaching permanent ban imposed in 2016

AI computer

OSC finds investors favour human-AI combo, no fear of AI advice

Illustration of a businessperson using a magnifying glass to examine files

Government proposes easing service requirements for investigative notices