Sharon Henderson

The Ontario Securities Commission has issued warnings about six firms operating without registration, including one under investigation for alleged fraud and co-mingling of client funds. Investors urged to verify credentials.

Ontario regulators have issued an order against Adam Arquette and his firm, alleging unregistered trading, fraud, and the mismanagement of over $100M in investor funds. A deeper look at the case and its implications.

A regulatory hearing involving Michael & Jessica Kemp exposes potential flaws in oversight of referral arrangements and the growing scrutiny of advisors directing clients to exempt market investments.

Ontario’s home building regulator has refused to renew the license of The Landing Development Group, a case that highlights the growing risks for homebuyers and the HCRA’s crackdown on financial mismanagement.

A disciplinary hearing set for February will examine allegations of misappropriated funds and undisclosed conflicts of interest against Lou Soco, highlighting the critical role of regulatory oversight in protecting investors.

A dispute between the Securities and Investment Management Association and CIRO is raising concerns about the rising cost of regulatory compliance and its potential impact on investors.

Fintech firm Emerge Canada faces hefty fines and trading bans after the OSC uncovered a widespread scheme to mislead investors. The fallout highlights growing regulatory scrutiny of the digital asset space.

A recent settlement between the OSC and Jessica Tam highlights the regulator's focus on individual accountability and the importance of ethical conduct within the financial services industry. Details emerge of the case and its implications.

The Ontario Securities Commission issued an order against Maurice Aziz, alleging fraudulent activity. Capital Currents unpacks the case, the implications for market integrity, and the evolving landscape of securities regulation.

A major restructuring is underway at Richards Packaging as the income fund seeks to convert to a corporation. The move unlocks capital for expansion, but what does it mean for investors and the broader packaging/medical supply landscape?

A luxury hotel group and its executives face penalties after an OSC tribunal uncovered evidence of fraud and mismanagement. The case highlights growing regulatory scrutiny of the hospitality sector and the importance of investor protection.

The Ontario Securities Commission has scheduled a case management hearing involving Nayeem Alli. With details scarce, the case highlights ongoing scrutiny of market participants and the OSC’s push for greater transparency.

A disciplinary hearing for a former TD advisor raises questions about fund misappropriation, investor protection, and the effectiveness of Canada’s self-regulatory bodies. Is enough being done to police the financial industry?

A case before the Ontario Securities Commission involving Benjamin Ward highlights a growing regulatory focus on misleading claims in the volatile crypto asset space. Is this the first wave of enforcement action?

The Canadian Public Accountability Board’s new CEO, a seasoned regulator from the OSC, signals a potential shift in audit enforcement and a renewed focus on emerging risks like digital assets and ESG reporting.

Criminal charges laid against a Calgary resident accused of defrauding investors through a foreign exchange scheme. The case highlights growing concerns about unregulated forex trading and investor vulnerability.

Ontario's financial regulator is expanding its Consumer Advisory Panel. But is this a genuine push for inclusive regulation, or simply a compliance exercise? Capital Currents investigates.

Montréal will host crucial talks on AI ethics, digital taxation and securing supply chains as Canada aims to position itself as a global leader in the new economy.

Canada’s ETF market faces potential shake-up as the industry pushes back against proposed regulations, arguing they could stifle innovation and raise costs for investors. A deeper look at the debate.

An OSC settlement reveals an insider trading scheme at Score Media & Gaming. We unpack the details, explore corporate governance failures, and assess the broader implications for Canada's capital markets.