Ontario Securities Commission – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 03 Feb 2025 18:55:59 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Ontario Securities Commission – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Ontario tribunal bans, fines crypto platform https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/ontario-tribunal-bans-fines-crypto-platform/ Mon, 03 Feb 2025 18:55:59 +0000 https://www.investmentexecutive.com/?p=501588 Sanctions needed to level playing field with crypto firms that are complying

The post Ontario tribunal bans, fines crypto platform appeared first on Investment Executive.

]]> CFR compliance sweep report on tap https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 CIRO, CSA to publish joint report on CFR sweep in first half

The post CFR compliance sweep report on tap appeared first on Investment Executive.

]]> New CIRO fee model gets OSC approval https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/new-ciro-fee-model-gets-osc-approval/ Thu, 30 Jan 2025 20:38:35 +0000 https://www.investmentexecutive.com/?p=501348 After consultation, SRO cuts proposed new dealer application fees

The post New CIRO fee model gets OSC approval appeared first on Investment Executive.

]]> Bridging receivership back in court next week https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bridging-receivership-back-in-court-next-week/ Wed, 29 Jan 2025 21:00:33 +0000 https://www.investmentexecutive.com/?p=501283 Court to hear arguments over competing claims on failed alternative fund manager's assets

The post Bridging receivership back in court next week appeared first on Investment Executive.

]]> Bridging investors deserve their day in court: judge https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bridging-investors-deserve-their-day-in-court-judge/ Thu, 23 Jan 2025 19:54:07 +0000 https://www.investmentexecutive.com/?p=500856 Quebec court refuses to stay lawsuit, saying regulatory, receivership proceedings could take years

The post Bridging investors deserve their day in court: judge appeared first on Investment Executive.

]]> Courts making little use of restitution orders https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/courts-making-little-use-of-restitution-orders/ Thu, 09 Jan 2025 21:56:19 +0000 https://www.investmentexecutive.com/?p=499901 Effort to elevate financial compensation in criminal cases falls flat

The post Courts making little use of restitution orders appeared first on Investment Executive.

]]> Tribunal sets sanctions in record crypto fraud https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/tribunal-sets-sanctions-in-record-crypto-fraud/ Fri, 20 Dec 2024 21:53:40 +0000 https://www.investmentexecutive.com/?p=499080 Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

The post Tribunal sets sanctions in record crypto fraud appeared first on Investment Executive.

]]> Issuer sanctioned by OSC for misleading disclosure https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/issuer-sanctioned-by-osc-for-misleading-disclosure/ Thu, 12 Dec 2024 18:21:55 +0000 https://www.investmentexecutive.com/?p=498441 Firm failed to question numerous red flags about purported billion-dollar contracts, according to OSC settlement

The post Issuer sanctioned by OSC for misleading disclosure appeared first on Investment Executive.

]]> Research finds paying whistleblowers works https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/research-finds-paying-whistleblowers-works/ Wed, 11 Dec 2024 11:41:55 +0000 https://www.investmentexecutive.com/?p=498308 Programs in U.S. and Canada have proven effective at detecting, deterring financial crime

The post Research finds paying whistleblowers works appeared first on Investment Executive.

]]> Review finds crypto firms sloppy with KYC too https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/review-finds-crypto-firms-sloppy-with-kyc-too/ Tue, 10 Dec 2024 20:53:07 +0000 https://www.investmentexecutive.com/?p=498285 OSC sweep uncovered issues with firms' account opening, client limits

The post Review finds crypto firms sloppy with KYC too appeared first on Investment Executive.

]]>