search

OSC REACHES MIXED VERDICT IN COMPLEX INSIDER TRADING CASE

The Ontario Securities Commission (OSC) handed down a split decision in a complex insider trading case against a chain of friends and associates, allegedly starting with a Bay Street analyst and exte...

Continue reading...

FCA
FCA AIMS TO BOOST LISTINGS
May 30, 2022

Recent efforts to bolster the U.K.’s regime for listing public companies is entering a new phase with the launch of a consultatio...

OSC
OSC PANEL DISMISSES FUND REP’S INSIDER TRADING ALLEGATION
May 27, 2022

An Ontario Securities Commission (OSC) hearing panel has dismissed insider trading allegations against a former mutual fund rep, ...

OSFI
OSFI PROPOSES CLIMATE RISK GUIDANCE
May 27, 2022

Federal financial regulators issued new guidance to address climate-related financial risks, including mandatory disclosure requi...

OSC
OSC WITHDRAWS SOME CHARGES AGAINST FORMER CANNTRUST LEADERS AT HEARING
May 26, 2022

Three former CannTrust Holdings Inc. leaders accused of securities offences have had some charges dropped, the Ontario Securities...

SEC
BROKER SANCTIONED OVER MEME STOCK MISDIRECTION
May 26, 2022

The U.S. Securities and Exchange Commission (SEC) has sanctioned a brokerage firm for falsely claiming that it didn’t restrict in...