OSC

Regulation

Fraudster gets jail time: OSC

Scheme raised $20 million from investors, promising access to locked-in funds

By James Langton |July 23, 2025

2 min read

Regulation

Bank reps under pressure to sell: OSC and CIRO

Research "showed a statistically significant association" between sales pressure and recommendations not in client interests

By James Langton |July 9, 2025

5 min read

News

Court upholds insider tipping ruling

Appeal of tribunal's rulings on merits, Charter issues, sanctions all rejected

By James Langton |April 24, 2025

3 min read

News

Adding insult to insider trading injury

In settlement with OSC, executive sanctioned for loss-making insider trading

By James Langton |March 26, 2025

2 min read

Regulation

CIRO takes over registration for firms, mutual fund reps in Ontario

The change has positive implications for reps who get terminated for an enforcement investigation, Ellen Bessner says

By Michelle Schriver |March 12, 2025

3 min read

Regulation

OSC alleges Emerge Canada breached duties to investors with self-dealing loans

Failed fund manager still owes $4.7-million receivable to funds

By Staff |March 10, 2025

2 min read

Regulation

Former Bay Street titans in legal clash over OSC case

Court tosses claim alleging the RBC DS execs pushed OSC to take enforcement action against Yorkton exec in 2001

By James Langton |February 26, 2025

4 min read

Regulation

Ontario tribunal bans, fines crypto platform

Sanctions needed to level playing field with crypto firms that are complying

By James Langton |February 3, 2025

2 min read

Regulation

New CIRO fee model gets OSC approval

After consultation, SRO cuts proposed new dealer application fees

By James Langton |January 30, 2025

2 min read

Regulation

Issuer sanctioned by OSC for misleading disclosure

Firm failed to question numerous red flags about purported billion-dollar contracts, according to OSC settlement

By James Langton |December 12, 2024

3 min read

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