Keyword: Illegal distributions

129 results found

OSC sought to extend order until enforcement proceedings complete

Company sold shares to a vulnerable investor without a prospectus or exemption

A tribunal ruled that the Joint Serious Offences Team isn't independent of the OSC

gavel on a laptop

Crypto lending program amounted to an unregistered offering, regulator alleges

Regulators say investors were misled about bullion backing digital token

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Regulator will enable investor to make claim for $900,000 to be paid in settlement

Kucoin stock illustration

Crypto contracts and futures are securities, says the Ontario Capital Markets Tribunal

Firm violated B.C. law when it raised funds from Taiwanese investors, panel found

Panel orders almost $37 million in disgorgement and penalties

Former fund rep admitted to advising without registration and misleading investors