OTC

Tribunal bans B.C. man over U.S. pump-and-dump Tribunal bans B.C. man over U.S. pump-and-dump

Regulation

Tribunal bans B.C. man over U.S. pump-and-dump

OSC sought to reciprocate sanctions imposed in U.S. court

By James Langton |May 4, 2026

1 min read

Dealer sanctioned over gatekeeping failure Dealer sanctioned over gatekeeping failure

Regulation

Dealer sanctioned over gatekeeping failure

Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets

By James Langton |July 3, 2025

3 min read

CIRO panel revokes third-party order CIRO panel revokes third-party order

Regulation

CIRO panel revokes third-party order

Earlier decision requiring clearing broker to produce records overturned

By James Langton |January 13, 2025

2 min read

IOSCO seeks improved oversight of OTC markets IOSCO seeks improved oversight of OTC markets

Regulation

IOSCO seeks improved oversight of OTC markets

Global commodities market demands enhanced resilience

By James Langton |November 25, 2024

2 min read