The OSC has posted four comment letters it received regarding its Notice of Proposed Amendments and Request for Comments - Enhanc...
CN Editor
April 17, 2019
REGULATORS EYE MARKET MAKERS" ROLE IN ETF TRADING
OSC INVESTOR WARNINGS AND ALERTS FOR DECEMBER 2 -23, 2025
OSC REACHES SETTLEMENT WITH CLAIR DRAGE OF THE LION"S SHARE GROUP INC. (LION"S SHARE GROUP) AND THE WINDROSE GROUP INC. (WINDROSE GROUP)
PROPOSED AMENDMENTS TO BC INSTRUMENT 22-502
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DRAMATIC INCREASE IN FINTRAC FINES COMING, BUT THEIR EFFECTIVENESS IS LESS CLEAR
ASC ALLEGES JASON DAVID NEALE, RANDAL STEWART THOMPSON AND WILLIAM ALLAN GREEN BREACHED ALBERTA SECURITIES LAWS
DELAYING THE EFFECTIVE DATE OF THE ANTI-MONEY LAUNDERING/COUNTERING THE FINANCING OF TERRORISM PROGRAM AND SUSPICIOUS ACTIVITY REPORT FILING REQUIREMENTS FOR REGISTERED INVESTMENT ADVISERS AND EXEMPT REPORTING ADVISERS
WITH CRM3 AROUND THE CORNER, HERE"S HOW FINANCIAL SERVICES FIRMS ARE PREPARING