Ontario Capital Markets Tribunal | Investment Executive https://www.investmentexecutive.com/tag/ontario-capital-markets-tribunal/ Canada's news source for financial professionals Mon, 26 Jan 2026 20:04:34 +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 Capital Markets Tribunal | Investment Executive https://www.investmentexecutive.com/tag/ontario-capital-markets-tribunal/ 32 32 Tribunal bans trader, after the first ban didn’t take https://www.investmentexecutive.com/news/tribunal-bans-trader-after-the-first-ban-didnt-take/ Mon, 26 Jan 2026 18:41:15 +0000 https://www.investmentexecutive.com/?p=530238 Initial sanction allowed RRSP, but he traded TFSA, margin accounts too

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]]> OSC’s disclosure issues didn’t justify stay: Tribunal https://www.investmentexecutive.com/news/oscs-disclosure-issues-didnt-justify-stay-tribunal/ Mon, 26 Jan 2026 14:40:19 +0000 https://www.investmentexecutive.com/?p=530149 Panel sought alternative remedy to address disclosure concerns

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]]> Tribunal shoots down OSC case https://www.investmentexecutive.com/news/from-the-regulators/tribunal-shoots-down-osc-case/ Fri, 23 Jan 2026 09:00:11 +0000 https://www.investmentexecutive.com/?p=530078 Releases were misleading, but case against lawyer not proven, panel finds

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]]> Tribunal denies confidentiality, stay motions https://www.investmentexecutive.com/news/tribunal-denies-confidentiality-stay-motions/ Mon, 19 Jan 2026 21:58:00 +0000 https://www.investmentexecutive.com/?p=529748 Panel stresses "open courts" principle in denying closed door hearing

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]]> Investor lawsuits may justify no financial sanctions https://www.investmentexecutive.com/news/investor-lawsuits-may-justify-no-financial-sanctions/ Mon, 19 Jan 2026 19:26:23 +0000 https://www.investmentexecutive.com/?p=529739 Normally, major frauds should carry disgorgement orders, Tribunal says

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]]> OSC plans payout to victims of binary options scheme https://www.investmentexecutive.com/news/osc-plans-payout-to-victims-of-binary-options-scheme/ Fri, 16 Jan 2026 21:31:51 +0000 https://www.investmentexecutive.com/?p=529646 Court appoints BDO to administer claims from investors

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]]> Executive banned in failed real estate scheme https://www.investmentexecutive.com/news/executive-banned-in-failed-real-estate-scheme/ Fri, 19 Dec 2025 19:56:40 +0000 https://www.investmentexecutive.com/?p=528215 OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation

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]]> Court upholds tribunal’s findings in crypto case https://www.investmentexecutive.com/news/from-the-regulators/court-upholds-tribunals-findings-in-crypto-case/ Fri, 14 Nov 2025 12:00:40 +0000 https://www.investmentexecutive.com/?p=525407 Absent overriding error, panel's decisions should get deference, court says

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]]> Tribunal declines to lift enforcement sanctions https://www.investmentexecutive.com/news/tribunal-declines-to-lift-enforcement-sanctions/ Wed, 05 Nov 2025 14:28:36 +0000 https://www.investmentexecutive.com/?p=524499 Removing sanctions would undermine deterrent, plan speculative, panel finds

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]]> Woman sanctioned for insider trading https://www.investmentexecutive.com/news/from-the-regulators/woman-sanctioned-for-insider-trading/ Mon, 27 Oct 2025 07:00:55 +0000 https://www.investmentexecutive.com/?p=523567 Pair traded ahead of Penn Gaming's bid for Score Media in 2021: OSC

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