Firm, directors settled allegations of securities violations
Syndicated mortgage firms never invested clients' money, the court found
The revision aims to increase regulatory efficiency, the Ontario regulator said
Firm self-reported violations, took remedial action and is seeking EMD status
Handover for mortgage investments from FSRA to OSC knocked to July
Former rep hit with $850,000 fine for breaching a variety of SRO rules
Ontario's securities regulator warns firms to seek registration ahead of the upcoming regulatory transition
The unlicensed firm helped brokers raise over $900 million in syndicated mortgage loans
Regulators harmonize exemptions and enhance disclosure requirements
Covid-19 has delayed the CSA's oversight regime