Regulators

Retail investors settled complaints for $1.4 million less than OBSI recommended over 5 years

What investment products and services caused the biggest OBSI caseload in 2024?

Retail investors settled complaints for $1.4 million less than OBSI recommended over 5 years

OSC alleges embattled ETF firm misused $6m of ETF investor money

The firm's directors and independent committee members face allegations of securities breaches

OSC alleges embattled ETF firm misused $6m of ETF investor money

CIRO fines three investment professionals for regulatory breaches

CIRO sanctions three individuals for using pre-signed forms, altering documents, and undisclosed dealings

CIRO fines three investment professionals for regulatory breaches

"It looks like they didn't do their homework," stakeholders push back on OSC fund proposal

Proposal would create new structure for retail investors to access 'long-term assets,' but responses may send regulator back to the drawing board

"It looks like they didn't do their homework," stakeholders push back on OSC fund proposal

CIRO issues $30,000 fine and three-month bar over unauthorized client financial dealings

A former registrant must also pay $20,000 in costs after admitting to unapproved transactions

CIRO issues $30,000 fine and three-month bar over unauthorized client financial dealings

CIRO issues permanent ban and six-figure fine for securities violations

Regulatory panel finds violations in outside business activities and undisclosed investments, imposing sanctions

CIRO issues permanent ban and six-figure fine for securities violations