Ontario Securities Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 21:53:40 +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 Tribunal sets sanctions in record crypto fraud https://www.investmentexecutive.com/news/from-the-regulators/tribunal-sets-sanctions-in-record-crypto-fraud/ Fri, 20 Dec 2024 21:53:40 +0000 https://www.investmentexecutive.com/?p=499080 Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

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]]> Issuer sanctioned by OSC for misleading disclosure https://www.investmentexecutive.com/news/from-the-regulators/issuer-sanctioned-by-osc-for-misleading-disclosure/ Thu, 12 Dec 2024 18:21:55 +0000 https://www.investmentexecutive.com/?p=498441 Firm failed to question numerous red flags about purported billion-dollar contracts, according to OSC settlement

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]]> Research finds paying whistleblowers works https://www.investmentexecutive.com/news/from-the-regulators/research-finds-paying-whistleblowers-works/ Wed, 11 Dec 2024 11:41:55 +0000 https://www.investmentexecutive.com/?p=498308 Programs in U.S. and Canada have proven effective at detecting, deterring financial crime

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]]> Review finds crypto firms sloppy with KYC too https://www.investmentexecutive.com/news/from-the-regulators/review-finds-crypto-firms-sloppy-with-kyc-too/ Tue, 10 Dec 2024 20:53:07 +0000 https://www.investmentexecutive.com/?p=498285 OSC sweep uncovered issues with firms' account opening, client limits

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]]> Regulators rule out discretionary AI trading, for now https://www.investmentexecutive.com/news/from-the-regulators/regulators-rule-out-discretionary-ai-trading-for-now/ Thu, 05 Dec 2024 21:47:19 +0000 https://www.investmentexecutive.com/?p=498037 CSA issues new guidance, consults on possible future reforms to address AI advances

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]]> Bridging investors’ recovery ruling delayed to 2025 https://www.investmentexecutive.com/news/from-the-regulators/bridging-investors-recovery-ruling-delayed-to-2025/ Thu, 05 Dec 2024 21:31:45 +0000 https://www.investmentexecutive.com/?p=498010 PwC's proposed approach to investor payouts faces a legal challenge

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]]> Tribunal sanctions Nova Tech crypto scheme https://www.investmentexecutive.com/news/from-the-regulators/tribunal-sanctions-nova-tech-crypto-scheme/ Thu, 05 Dec 2024 19:21:22 +0000 https://www.investmentexecutive.com/?p=497993 The firm and its founder were permanently banned, fined

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]]> First stablecoin to meet CSA’s standards https://www.investmentexecutive.com/news/from-the-regulators/first-stablecoin-to-meet-csas-standards/ Wed, 04 Dec 2024 22:04:34 +0000 https://www.investmentexecutive.com/?p=497954 Other issuers have until Dec. 31 to comply with the regulators' stablecoin rules

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]]> CSA seeks sales practices reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-sales-practices-reforms/ Fri, 29 Nov 2024 15:08:45 +0000 https://www.investmentexecutive.com/?p=497634 Proposals aim to boost investor protection around proprietary fund sales

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]]> Bridging investors may finally see some money https://www.investmentexecutive.com/news/from-the-regulators/bridging-investors-may-finally-see-some-money/ Thu, 28 Nov 2024 19:32:35 +0000 https://www.investmentexecutive.com/?p=497612 PwC proposes an interim $473 million payout to investors

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