Ontario Securities Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 01 May 2024 17:46:22 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Ontario Securities Commission – Investment Executive https://www.investmentexecutive.com 32 32 Delay for OSC’s Bridging hearing denied https://www.investmentexecutive.com/news/from-the-regulators/delay-for-oscs-bridging-hearing-denied/ Wed, 01 May 2024 17:41:02 +0000 https://www.investmentexecutive.com/?p=485080 Tribunal refused to pause its proceedings while lawyers try to get paid

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]]> Tribunal asked to pause OSC’s Bridging case https://www.investmentexecutive.com/news/from-the-regulators/tribunal-asked-to-pause-oscs-bridging-case/ Wed, 24 Apr 2024 16:49:00 +0000 https://www.investmentexecutive.com/?p=484673 Lawyers for firm's founder seek adjournment amid unpaid legal bills

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]]> Court certifies crypto class action against Binance https://www.investmentexecutive.com/news/from-the-regulators/court-certifies-crypto-class-action-against-binance/ Mon, 22 Apr 2024 18:06:31 +0000 https://www.investmentexecutive.com/?p=484473 Suit alleges that retail investor trades violated securities law

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]]> OSC hikes fees for crypto firms https://www.investmentexecutive.com/news/from-the-regulators/osc-hikes-fees-for-crypto-firms/ Fri, 19 Apr 2024 16:17:50 +0000 https://www.investmentexecutive.com/?p=484368 Regulator adopts new charges to cover added costs on overseeing crypto sector

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]]> CSA sets path to market data reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-sets-path-to-market-data-reforms/ Thu, 18 Apr 2024 21:31:24 +0000 https://www.investmentexecutive.com/?p=484304 Regulators to boost fee transparency, explore enhanced retail access

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]]> Court rejects OSC’s crypto fraud allegations https://www.investmentexecutive.com/news/from-the-regulators/court-rejects-oscs-crypto-fraud-allegations/ Tue, 02 Apr 2024 18:22:04 +0000 https://www.investmentexecutive.com/?p=483028 Regulator failed to meet burden of proof on all counts

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]]> Ontario budget voices support for OBSI reform https://www.investmentexecutive.com/news/from-the-regulators/ontario-budget-voices-support-for-obsi-reform/ Tue, 26 Mar 2024 20:03:44 +0000 https://www.investmentexecutive.com/?p=482762 Government endorses OSC's investor protection, capital formation efforts

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]]> Fund managers need to spruce up IRCs https://www.investmentexecutive.com/news/from-the-regulators/fund-managers-need-to-spruce-up-ircs/ Thu, 21 Mar 2024 18:25:09 +0000 https://www.investmentexecutive.com/?p=482472 OSC, AMF call for freshening up fund governance

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]]> Court upholds tribunal findings in Amaya case https://www.investmentexecutive.com/news/from-the-regulators/court-upholds-tribunal-findings-in-amaya-case/ Wed, 20 Mar 2024 19:33:28 +0000 https://www.investmentexecutive.com/?p=482414 Appeals by advisor, analyst in insider trading case dismissed

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]]> Rep called out after strike two https://www.investmentexecutive.com/news/from-the-regulators/rep-called-out-after-strike-two/ Tue, 19 Mar 2024 20:39:44 +0000 https://www.investmentexecutive.com/?p=482347 Ban, fine of $300K follow repeat episode of unapproved outside business activity

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