Ontario Securities Commission | Investment Executive https://www.investmentexecutive.com/post_company/ontario-securities-commission/ Canada's news source for financial professionals Mon, 13 Apr 2026 18:45:30 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 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/post_company/ontario-securities-commission/ 32 32 Fraud conviction that followed initial acquittal faces new appeal https://www.investmentexecutive.com/news/fraud-conviction-that-followed-initial-acquittal-faces-new-appeal/ Mon, 13 Apr 2026 18:37:54 +0000 https://www.investmentexecutive.com/?p=536178 Court to hear appeal from man convicted after OSC appealed his acquittal

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]]> OSC secures ban on Canadian convicted in U.S. https://www.investmentexecutive.com/news/osc-secures-ban-on-canadian-convicted-in-u-s/ Mon, 13 Apr 2026 13:33:25 +0000 https://www.investmentexecutive.com/?p=536121 Hedge fund trader pleaded guilty in market manipulation case

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]]> OSC seeks settlement with ATS over trade controls https://www.investmentexecutive.com/news/osc-seeks-settlement-with-ats-over-trade-controls/ Fri, 10 Apr 2026 20:33:32 +0000 https://www.investmentexecutive.com/?p=536100 Tribunal to consider settlement with Liquidnet over allegedly faulty controls

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]]> Adjudicator in OSC vs. Purpose case steps down https://www.investmentexecutive.com/news/adjudicator-in-osc-v-purpose-case-steps-down/ Fri, 10 Apr 2026 18:02:44 +0000 https://www.investmentexecutive.com/?p=536027 Social relationship with regulator's key witness in case leads to recusal

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]]> Ontario tribunal bans B.C. man under U.S. sanctions https://www.investmentexecutive.com/news/ontario-tribunal-bans-b-c-man-under-u-s-sanctions/ Thu, 09 Apr 2026 18:32:47 +0000 https://www.investmentexecutive.com/?p=535905 SEC alleged Canadian involved in penny stock pump-and-dump scheme

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]]> Tribunal bans absentee Ponzi schemer https://www.investmentexecutive.com/news/from-the-regulators/tribunal-bans-absentee-ponzi-schemer/ Fri, 03 Apr 2026 06:22:34 +0000 https://www.investmentexecutive.com/?p=535575 Fraudster sentenced in absentia after pleading guilty

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]]> OSC brings allegations against Bridging fund auditor https://www.investmentexecutive.com/news/from-the-regulators/osc-brings-allegations-against-bridging-fund-auditor/ Tue, 31 Mar 2026 21:17:28 +0000 https://www.investmentexecutive.com/?p=535293 Regulator says flawed audits ignored loan valuation issues, misled investors

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]]> KuCoin crypto exchange shut down in U.S. https://www.investmentexecutive.com/news/from-the-regulators/kucoin-crypto-exchange-shut-down-in-u-s/ Tue, 31 Mar 2026 17:54:42 +0000 https://www.investmentexecutive.com/?p=535281 In CFTC action, court order imposes permanent injunction on platform

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]]> OSC proposal looks at automating compliance, cutting costs https://www.investmentexecutive.com/news/osc-proposal-looks-at-automating-compliance-cutting-costs/ Mon, 30 Mar 2026 18:19:36 +0000 https://www.investmentexecutive.com/?p=535153 Regulator consults on approach to building machine-readable rules

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]]> Short-selling dealers stay secret https://www.investmentexecutive.com/news/short-selling-dealers-stay-secret/ Fri, 27 Mar 2026 20:20:08 +0000 https://www.investmentexecutive.com/?p=534995 IPC upholds OSC decision to preserve privacy of dealers in failed trade study

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