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The securities regulator administers the province's securities legislation and, correspondingly, promulgates its own set of rules and regulations. The regulator relies on the work of the national self-regulatory organization—the Canadian Investment Regulatory Organization (CIRO)—for most aspects of the regulation of the organization's ...
The Ontario Securities Commission (OSC; French: Commission des valeurs mobilières de l’Ontario) is a regulatory agency which administers and enforces securities legislation in the Canadian province of Ontario. The OSC is an Ontario Crown agency which reports to the Ontario legislature through the Minister of Finance.
The Keeping the Promise for a Strong Economy Act (Budget Measures), 2002, also known as Bill 198, was an Ontario legislative bill effective April 7, 2003, [1] which provides for regulation of securities issued in the province of Ontario. The legislation encompasses many areas.
The Supreme Court on Thursday limited the power of the Securities and Exchange Commission to enforce security fraud violations, siding with a hedge fund manager and former conservative radio show ...
The justices ruled in a 6-3 vote that people accused of fraud by the SEC, which regulates securities markets, have the right to a jury trial in federal court. The in-house proceedings the SEC has ...
Participants of the Passport system are the governments of all Canadian provinces and territories, excluding Ontario. To access the market in Ontario, non-Ontario market participants may use an interface system in which the Ontario Securities Commission (OSC) makes its own decisions, but generally relies on the review by the principal regulator ...
According to the Wells Notice, viewed by Fortune, the SEC plans to formally accuse Unicoin of violations related to fraud, deceptive practices, and the offering and sale of unregistered securities ...
Monitors members for securities law compliance; enforces securities regulations through quasi-judicial proceedings: Headquarters: Suite 2600, Bay Adelaide North, 40 Temperance Street, Toronto, Ontario, Canada