Search for: "Ontario Securities Commission"
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29 Jun 2012, 9:02 am
The Ontario Securities Commission today released a staff notice advising that, when OSC Staff recommend that the Director refuse, amend, suspend or impose terms and conditions on an individual's registration status under the Securities Act, staff will provide written notice of its recommendation and brief reasons not only to the individual registrant, but also the sponsoring firm. [read post]
11 Apr 2013, 12:53 pm
Law Commission of Ontario Final Report on Vulnerable Workers and Precarious Work: "In Ontario today there are fewer full-time, well-paid jobs with good benefits and more precarious jobs with lower wages, poor job security, few benefits and little control over working conditions. [read post]
21 Oct 2011, 12:35 pm
In a bid to resolve enforcement matters more quickly and effectively, the Ontario Securities Commission today announced a series of proposed enforcement initiatives that would include permitting market participants to enter into no-contest settlements. [read post]
27 Aug 2012, 10:01 am
The eyes of Ontario’s financial community will be on the Ontario Securities Commission this afternoon as the OSC considers a settlement agreement in relation to three figures in the Portus Alternative Asset Management Inc. investment debacle.Settlement hearings will take place at 2:30 p.m. for Portus president and director Boaz Manor; at 3 p.m. for former Portus chief compliance officer Michael Labanowich; and at 3:15 p.m. for John Ogg, who succeed… [read post]
25 Jun 2012, 12:00 pm
The Bill also increases the maximum number of members of the Ontario Securities Commission from 15 to 16. [read post]
2 Oct 2009, 12:02 pm
The Ontario Securities Commission has published proposed amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees for comment. [read post]
6 Nov 2009, 8:43 am
As described in our earlier post, on October 9, the Ontario Securities Commission (OSC) introduced a new process for reviewing changes to certain operations of exchanges and ATSs. [read post]
9 Oct 2009, 12:55 pm
On September 28, 2009, the Ontario Securities Commission issued its passport decision In the Matter of National Instrument 31-103 Registration Requirements and Exemptions (NI 31-103 or the Instrument) and Crosbie & Company Inc. and Certain Other Limited Market Dealers that have become Exempt Marker Dealers under Subsection 16.3(2) of NI 31-103 (the Decision). [read post]
14 Jun 2012, 1:00 pm
The Ontario Securities Commission announced today that amendments to NI 21-101 Marketplace Operations, NI 23-101 Trading Rules, their companion policies and related forms to update and streamline the instruments' regulatory and reporting requirements have now received Ministerial approval. [read post]
20 Aug 2010, 12:15 pm
Earlier this week, the Ontario Securities Commission released its 2010 Annual Report, which provides a review of the OSC's activities over the past year. [read post]
22 Jan 2010, 11:10 am
The Ontario Securities Commission (OSC) has announced that it has made amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) as well as to their respective companion policies. [read post]
22 Dec 2009, 10:36 am
The Ontario Securities Commission, the Autorité des marchés financiers and the Investment Industry Regulatory Organization of Canada yesterday announced that they had reached settlements with various financial firms in connection with the regulators' investigations into the Canadian asset-backed commercial paper market. [read post]
23 Apr 2010, 9:06 am
Alpha ATS announced yesterday that it is seeking regulatory approval from the Ontario Securities Commission (OSC) to become a recognized exchange. [read post]
4 Dec 2018, 6:00 am
The CLA sets out the licensing scheme for private cannabis retail stores and will be administered by the Alcohol and Gaming Commission of Ontario. [read post]
25 Sep 2009, 12:54 pm
The Ontario Securities Commission (OSC) today released its 2009 Compliance Team Annual Report, which summarizes the team's activities for fiscal 2009. [read post]
9 Oct 2009, 11:15 am
The Ontario Securities Commission (OSC) released a notice today respecting the review by OSC staff of the regulatory requirements for stock exchanges and alternative trading systems and their practices. [read post]
12 Dec 2013, 11:52 am
The Supreme Court of Canada has opened the door more widely to consumer class actions in a case which follows an Ontario Securities Commission settlement: AIC Limited v. [read post]
29 Feb 2012, 11:00 am
The Ontario Securities Commission today released its strategic plan for 2012-2015. [read post]
3 Dec 2014, 1:29 pm
The New Exemption will be available in Ontario to permit offerings to existing security holders. [read post]
3 Dec 2014, 1:29 pm
The New Exemption will be available in Ontario to permit offerings to existing security holders. [read post]
