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Royal Bank of Canada, Toronto Dominion Bank to Pay OSC Over $24 Million for Foreign Exchange Compliance Failures

by Barbara Hendrickson | Sep 4, 2019

The Royal Bank of Canada (RBC) and the Toronto Dominion Bank (TD) have agreed to pay the Ontario Securities Commission (OSC) over CAD $24 million for their failure to properly supervise their respective Foreign Exchange (FX) traders who exchanged confidential client...

Ontario Securities Commission Issues Staff Notice 11-787 Improving Fee Disclosure Through Behavioural Insights

by Barbara Hendrickson | Aug 27, 2019

The Ontario Securities Commission (OSC) has issued Staff Notice 11-787 Improving Fee Disclosure Through Behavioural Insights (the Staff Notice), outlining the findings of a research report (the Report) aimed at improving the investor’s experience with correspondingly...

OSC Publishes Summary Report for Dealers, Advisers, and Investment Fund Managers

by Barbara Hendrickson | Aug 13, 2019

The Ontario Securities Commission (OSC) has published Staff Notice 33-750 Summary Report for Dealers, Advisers and Investment Fund Managers (the Staff Notice or Summary Report), which reviews information impacting registration, information from compliance reviews, and...

Ontario Securities Commission approves settlement with CoinLaunch

by Barbara Hendrickson | Jul 29, 2019

An Ontario Securities Commission (OSC) panel has approved a settlement with CoinLaunch Corp. (CoinLaunch) which had formerly operated in the crypto-asset space, penalizing it for engaging in the business of trading in securities without a registration. CoinLaunch,...

OSC Reduces Regulatory Burden on Investment Fund Managers of Pooled Funds

by Barbara Hendrickson | Jul 15, 2019

The Ontario Securities Commission (OSC) has lifted some of the regulatory burden for investment fund managers of pooled funds. Fund managers of pooled funds now no longer need to apply for approval to act as trustees. As registrants, the OSC deems that fund managers...
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