Ontario Capital Markets Tribunal | Investment Executive Canada's news source for financial professionals Wed, 22 Apr 2026 20:06:04 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://old.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Ontario Capital Markets Tribunal | Investment Executive 32 32 Court rejects ex-rep’s appeal of fraud conviction https://old.investmentexecutive.com/news/court-rejects-ex-reps-appeal-of-fraud-conviction/ Wed, 22 Apr 2026 20:06:04 +0000 https://www.investmentexecutive.com/?p=536949 Scheme targeted existing clients, not the public, ex-rep tried to argue

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]]> ATS sanctioned over trade info leakage https://old.investmentexecutive.com/news/ats-sanctioned-over-trade-info-leakage/ Wed, 15 Apr 2026 17:51:13 +0000 https://www.investmentexecutive.com/?p=536369 Tribunal approved OSC's settlement with Liquidnet Canada

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]]> OSC secures ban on Canadian convicted in U.S. https://old.investmentexecutive.com/news/osc-secures-ban-on-canadian-convicted-in-u-s/ Mon, 13 Apr 2026 13:33:25 +0000 https://www.investmentexecutive.com/?p=536121 Hedge fund trader pleaded guilty in market manipulation case

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]]> OSC seeks settlement with ATS over trade controls https://old.investmentexecutive.com/news/osc-seeks-settlement-with-ats-over-trade-controls/ Fri, 10 Apr 2026 20:33:32 +0000 https://www.investmentexecutive.com/?p=536100 Tribunal to consider settlement with Liquidnet over allegedly faulty controls

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]]> Adjudicator in OSC vs. Purpose case steps down https://old.investmentexecutive.com/news/adjudicator-in-osc-v-purpose-case-steps-down/ Fri, 10 Apr 2026 18:02:44 +0000 https://www.investmentexecutive.com/?p=536027 Social relationship with regulator's key witness in case leads to recusal

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]]> Tribunal bans absentee Ponzi schemer https://old.investmentexecutive.com/news/from-the-regulators/tribunal-bans-absentee-ponzi-schemer/ Fri, 03 Apr 2026 06:22:34 +0000 https://www.investmentexecutive.com/?p=535575 Fraudster sentenced in absentia after pleading guilty

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]]> Tribunal bans trader, after the first ban didn’t take https://old.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://old.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://old.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://old.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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