Ontario Capital Markets Tribunal | Investment Executive https://www.investmentexecutive.com/tag/ontario-capital-markets-tribunal/ Canada's news source for financial professionals Thu, 13 Nov 2025 22:09:22 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 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

The post Court upholds tribunal’s findings in crypto case appeared first on Investment Executive.

]]> 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

The post Tribunal declines to lift enforcement sanctions appeared first on Investment Executive.

]]> 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

The post Woman sanctioned for insider trading appeared first on Investment Executive.

]]> OSC seeks to enforce D&O sanctions https://www.investmentexecutive.com/news/osc-seeks-to-enforce-do-sanctions/ Fri, 17 Oct 2025 18:34:50 +0000 https://www.investmentexecutive.com/?p=522911 Regulator brings series of enforcement actions, alleging bans being flouted

The post OSC seeks to enforce D&O sanctions appeared first on Investment Executive.

]]> Company, execs sanctioned for misleading disclosure https://www.investmentexecutive.com/news/company-execs-sanctioned-for-misleading-disclosure/ Wed, 15 Oct 2025 18:46:16 +0000 https://www.investmentexecutive.com/?p=522711 Tribunal orders $1.6 million in penalties and costs, market bans

The post Company, execs sanctioned for misleading disclosure appeared first on Investment Executive.

]]> That’s a wrap on fund manager’s receivership https://www.investmentexecutive.com/news/thats-a-wrap-on-fund-managers-receivership/ Thu, 09 Oct 2025 20:34:55 +0000 https://www.investmentexecutive.com/?p=522373 Receiver proposes final distribution to Stableview investors

The post That’s a wrap on fund manager’s receivership appeared first on Investment Executive.

]]> Court rejects ex-broker’s appeal in OSC case https://www.investmentexecutive.com/news/from-the-regulators/court-rejects-ex-brokers-appeal-in-osc-case/ Thu, 31 Jul 2025 16:36:44 +0000 https://www.investmentexecutive.com/?p=516526 Tribunal's finding that 2004 trading ban was breached is upheld on appeal

The post Court rejects ex-broker’s appeal in OSC case appeared first on Investment Executive.

]]> Appeal sought in Bridging Finance case https://www.investmentexecutive.com/news/from-the-regulators/appeal-sought-in-bridging-finance-case/ Fri, 18 Jul 2025 20:48:41 +0000 https://www.investmentexecutive.com/?p=515575 Firm's former CEO, David Sharpe, seeks judicial review of tribunal's findings against him

The post Appeal sought in Bridging Finance case appeared first on Investment Executive.

]]> Bridging execs hit with over $27 million in sanctions https://www.investmentexecutive.com/news/from-the-regulators/bridging-execs-hit-with-over-27-million-in-sanctions/ Wed, 18 Jun 2025 18:42:32 +0000 https://www.investmentexecutive.com/?p=512893 Tribunal calls misconduct possibly the "most egregious" it has seen

The post Bridging execs hit with over $27 million in sanctions appeared first on Investment Executive.

]]> Crypto firm sanctioned in OSC case https://www.investmentexecutive.com/news/from-the-regulators/crypto-firm-sanctioned-in-osc-case/ Mon, 16 Jun 2025 17:51:09 +0000 https://www.investmentexecutive.com/?p=512703 Cooperation with regulator pays off in smaller penalty

The post Crypto firm sanctioned in OSC case appeared first on Investment Executive.

]]>