• First Reference
  • About us
  • Contact us
  • Blog Signup 📨

First Reference Talks

Discussions on Human Resources, Employment Law, Payroll and Internal Controls

  • Home
  • About
  • Archives
  • Resources
  • Buy Policies

securities regulation

By McCarthy Tétrault LLP | 5 Minutes Read May 3, 2019

Regulation of online advisors: An international overview

The regulation of online advisors, often referred to as “robo-advisors”, continues to be a hot topic in the financial services industry. Online advisors are digital wealth managers which generate investment recommendations and automatically invest and rebalance funds based on an investor’s risk tolerance.

Article by McCarthy Tétrault LLP / Business, Finance and Accounting / financial institutions, financial services regulators, online advisors, Securities and Exchange Commission, securities regulation

By Occasional Contributors | 3 Minutes Read April 16, 2019

Inter-jurisdictional enforcement against cryptocurrency-related financial products

In its first enforcement decision concerning cryptocurrency, the Ontario Securities Commission permanently prohibited USI-Tech Limited from trading in securities or derivatives based on its promotion of cryptocurrency-related financial products in Ontario.

Article by Occasional Contributors / Business, Finance and Accounting / bitcoin, Canadian securities regulators, cryptocurrency, FinTech, investments, securities regulation

By Occasional Contributors | 2 Minutes Read March 19, 2019

The game changer: OSC awards $7.5 million to three whistleblowers

The Ontario Securities Commission (the OSC) recently announced that it has awarded nearly $7.5 million to three whistleblowers on separate matters as part of its relatively nascent whistleblower program, which came into effect in 2016.

Article by Occasional Contributors / Business, Finance and Accounting / securities law misconduct, securities laws, securities regulation, securities regulatory enforcement, whistleblower programs, whistleblowers

  • Go to page 1
  • Go to page 2
  • Go to Next Page »

Footer

About us

Established in 1995, First Reference is the leading publisher of up to date, practical and authoritative HR compliance and policy databases that are essential to ensure organizations meet their due diligence and duty of care requirements.

First Reference Talks

  • Home
  • About
  • Archives
  • Resources
  • Buy Policies

Main Menu

  • About First Reference
  • Resources
  • Contact us
  • 1 800 750 8175

Stay Connected

  • Facebook
  • LinkedIn
  • Twitter
  • YouTube

We welcome your comments on our blog articles. However, we do not respond to specific legal questions in this space.
We do not provide any form of legal advice or legal opinion. Please consult a lawyer in your jurisdiction or try one of our products.


Copyright © 2009 - 2023 · First Reference Inc. · All Rights Reserved
Legal and Copyright Notices · Publisher's Disclaimer · Privacy Policy · Accessibility Policy