Information About Risk Management & Crisis Response
Below is a preview of the five most recent posts from the blog Risk Management & Crisis Response. To read these posts in their entirely or subscribe to future updates from this blog, please visit their website!
- Blockchain company and CEO to pay over $1M for misleading investors
The OSC has approved a settlement agreement with NextBlock Global Limited (“NextBlock”) and its founder and CEO, Alex Tapscott, in connection with misleading statements made to prospective investors in 2017. Misrepresentations in investor slide decks NextBlock, of which Tapscott was a co-founder, wa … Read more »
- SEC introduces long-awaited best interest standard
On June 5, 2019, after over a year of debate, the U.S. Securities Exchange Commission (“SEC”) adopted its long-awaited Regulation Best Interest: The Broker-Dealer Standard of Conduct (the “Best Interest Regulation”). This new rule establishes a standard of code of conduct for broker-dealers when the … Read more »
- OSC Burden Reduction Initiative – OSC roundtables
This is the first in a series of blog posts examining the Ontario Securities Commission’s (“OSC”) Burden Reduction Initiative. In this post we summarize three roundtable discussions organized by the OSC to facilitate public feedback on its Burden Reduction initiative. In January 2019, the Ontario Se … Read more »
- OSC’s Investor Advisory Panel releases 2018 Annual Report
The challenge of understanding the unique perspectives of consumer level investors led the Ontario Securities Commission (OSC) to establish the Investor Advisory Panel (IAP) in 2010. Its mandate includes: Advising and commenting in writing on proposed rules, policies, concept papers and discussion d … Read more »
- MFDA boosts enforcement activity in 2018
Canada’s ‘other’ national self regulatory agency is demonstrating its intention to police the mutual fund distributors it represents. On May 1, 2019, the Mutual Fund Dealers Association of Canada (MFDA), the national self-regulatory organization (SRO) for the distribution side of the Canadian mutua … Read more »
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