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/CNW/ - The Ontario Securities Commission (OSC) today announced activities to help people make more informed financial decisions as part of Investor Education. ....
/CNW/ - The Ontario Securities Commission (OSC) is helping people to avoid becoming victims of fraud and to make more informed financial decisions during Fraud. ....
Share this article Share this article TORONTO, Dec. 18, 2020 /CNW/ - A Panel of the Ontario Securities Commission (OSC) today approved a settlement agreement with Bloomberg Trading Facility Limited (BTFL) and Bloomberg Trading Facility B.V. (BV), two foreign-based firms that operate multilateral trading facilities for fixed income securities and swaps. The settlement follows allegations by OSC Staff that the firms operated marketplaces without authorization in Ontario, filed applications for exemptive relief with the Commission containing incomplete and inaccurate information and, in the case of BTFL, failed to comply with terms and conditions set out in an exemptive relief order. As part of the settlement agreement, BTFL and BV have paid an administrative penalty of CAD $2,506,011.80 and disgorged $663,305.20. The payments take into account, among other things, BTFL and BV s level of cooperation with OSC Staff. To provide transparency to market participants, ....