Octagon Capital Corp. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 05 Nov 2020 16:57:03 +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 Octagon Capital Corp. – Investment Executive https://www.investmentexecutive.com 32 32 Octagon Capital dismissed by IIROC https://www.investmentexecutive.com/news/from-the-regulators/octagon-capital-dismissed-by-iiroc/ Thu, 05 Nov 2020 16:51:14 +0000 https://www.investmentexecutive.com/?p=410414 The SRO suspended the firm in 2015

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]]> Former CFO fined, banned after admitting to accounting failures https://www.investmentexecutive.com/news/from-the-regulators/former-cfo-fined-banned-after-admitting-to-accounting-failures/ Tue, 28 May 2019 15:20:41 +0000 https://www.investmentexecutive.com/?p=382340 Octagon Capital was suspended in 2015 after IIROC found it to be capital deficient

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]]> OBSI outs Octagon for refusing to pay compensation https://www.investmentexecutive.com/news/industry-news/obsi-outs-octagon-for-refusing-to-pay-compensation/ Fri, 09 Nov 2012 17:30:00 +0000 https://www.investmentexecutive.com/uncategorized/obsi-outs-octagon-for-refusing-to-pay-compensation/ This is the first time the Omubdsman has publicized an investment dealer’s refusal to compensate a client

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]]> IDA fines Octagon Capital $50,000 https://www.investmentexecutive.com/news/from-the-regulators/ida-fines-octagon-capital-50000/ Mon, 11 Jun 2007 18:55:00 +0000 https://www.investmentexecutive.com/uncategorized/ida-fines-octagon-capital-50000/ Dealer failed to perform necessary due diligence, panel finds

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]]> IDA panel finds Octagon guilty of facilitating illegal private placement distribution https://www.investmentexecutive.com/news/from-the-regulators/ida-panel-finds-octagon-guilty-of-facilitating-illegal-private-placement-distribution/ Tue, 24 Apr 2007 17:40:00 +0000 https://www.investmentexecutive.com/uncategorized/ida-panel-finds-octagon-guilty-of-facilitating-illegal-private-placement-distribution/ Two other charges not supported by evidence

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