Regulators found firms are failing to identify and manage conflicts in clients' best interests
Firm admitted to serving retail investors before SRO approvals, systems in place
OSC decision to deny access to investors' identities upheld
Company sold shares to a vulnerable investor without a prospectus or exemption
State regulators oppose proposals to expand private markets, erode investor protections
Misconduct occurred as part of a legitimate business, not a scam, panel found
Regulators enhance requirements on real estate issuers, collective investment vehicles
Total issuance almost doubled from 2019, led by institutional investors
The pilot program expands accredited investor exemptions beyond financial metrics
In the coming year, the regulator will assess how firms are implementing the CFRs