Capital Markets Tribunal – Advisor's Edge https://phoenix.advisor.ca The best news source for Canadian financial advisors. Investments, financial markets, insurance, practice management, tax and estate planning Thu, 22 Jun 2023 19:47:04 +0000 en-CA hourly 1 https://wordpress.org/?v=5.9.3 https://phoenix.advisor.ca/wp-content/uploads/sites/5/2018/05/cropped-advisor-ico-32x32.png Capital Markets Tribunal – Advisor's Edge https://phoenix.advisor.ca 32 32 OSC’s case against Bridging execs gets the go-ahead https://phoenix.advisor.ca/news/industry-news/oscs-case-against-bridging-execs-gets-the-go-ahead/ Thu, 22 Jun 2023 17:38:58 +0000 https://www.advisor.ca/?p=227063 Tribunal rules Sharpes failed to make the case for a stay, hearing starts June 26

The post OSC’s case against Bridging execs gets the go-ahead appeared first on Advisor's Edge.

]]> Tribunal allows witness to testify in U.S. case https://phoenix.advisor.ca/news/industry-news/tribunal-allows-witness-to-testify-in-u-s-case/ Tue, 31 Jan 2023 20:17:40 +0000 https://www.advisor.ca/?p=221364 OSC staff opposed order, amid concerns it could undermine Ontario court's authority to deal with foreign court requests

The post Tribunal allows witness to testify in U.S. case appeared first on Advisor's Edge.

]]> Cannabis company, ex-CEO settle OSC allegations https://phoenix.advisor.ca/news/industry-news/cannabis-company-ex-ceo-settle-osc-allegations/ Fri, 04 Nov 2022 20:42:32 +0000 https://www.advisor.ca/?p=216126 Sanctions include market bans, costs, but no financial penalties

The post Cannabis company, ex-CEO settle OSC allegations appeared first on Advisor's Edge.

]]> Fund manager fined, banned in OSC settlement https://phoenix.advisor.ca/news/industry-news/fund-manager-fined-banned-in-osc-settlement/ Fri, 24 Jun 2022 17:57:45 +0000 https://www.advisor.ca/?p=211147 Firm violated securities rules by breaching concentration limits, misleading investors

The post Fund manager fined, banned in OSC settlement appeared first on Advisor's Edge.

]]>