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OSC · 제재 조치 · · 낮음
OSC investor warnings and alerts for October 14, 2026 – November 3, 2026
The Ontario Securities Commission published an investor warning and alert listing companies it says are not registered to deal or advise in securities in Ontario, covering the period from October 14, 2026 to November 3, 2026. The feed text names no companies, and the page text contains only a search prompt, so the specific entities cannot be confirmed from this publication.
확인해 볼 사항
Check whether any counterparties or referred firms appear on the full OSC investor warnings list before dealing with them.
Review internal onboarding controls for confirming registration status of firms that approach clients.
CSA updates non-GAAP and other financial measures disclosure rules ahead of IFRS 18
The Canadian Securities Administrators published in final form amendments to National Instrument 52-112 on non-GAAP and other financial measures disclosure, ahead of IFRS 18. The source text provided is truncated, so the full scope, effective date and transition provisions could not be confirmed from the material available.
확인해 볼 사항
Check whether the final amendments apply to your entity's public disclosures and the effective date stated in the full CSA notice.
Review current non-GAAP and other financial measures disclosures against the amended requirements once the full text is available.
OSC investor warnings and alerts for September 22, 2026 – October 14, 2026
The Ontario Securities Commission (OSC) issued an investor warning covering the period September 22, 2026 to October 14, 2026. It states that the listed companies are not registered to deal or advise in securities in Ontario, but the text provided does not include the names of the companies.
확인해 볼 사항
Check whether any counterparties or introducers named in the full OSC notice are dealing with clients and confirm their registration status.
Review client communications for any references to the warned entities.
OSC announces new Investor Advisory Panel members and Chair
The Ontario Securities Commission announced three new members of its independent Investor Advisory Panel, selected through a public application process. The announcement concerns the regulator's advisory body rather than any supervised entity's obligations.
Canadian securities regulators publish final amendments prohibiting chargebacks in investment fund distribution
The Canadian Securities Administrators (CSA) announced the publication of final amendments that prohibit chargebacks in investment fund distribution. The feed text is brief and does not set out the full scope of the amendments, so the detailed requirements cannot be confirmed from this publication alone.
확인해 볼 사항
Review the full final amendments text to confirm which entities and fund distribution arrangements are in scope.
Check whether current distribution arrangements involve any chargeback payments that the amendments would prohibit.
Confirm the entry into force date in the full publication before planning any changes.
The Ontario Securities Commission has published the 2026 Annual Report of its Registration, Inspections and Examinations (RIE) Division. The source text provided is truncated and does not give the report's findings, so the scope beyond the title is not confirmed.
CSA encourages informed investing and fraud prevention during Investor Education Month
The Canadian Securities Administrators (CSA) marked Investor Education Month by encouraging investors to stay focused on long-term goals, verify investment information, and guard against fraud. The publication is a public awareness message aimed at investors rather than a rule or requirement for supervised entities.
The Ontario Securities Commission announced that John Natividad of Brampton, Ontario, was sentenced on September 28, 2026, to 90 days in jail after pleading guilty on January 13, 2025, to insider trading. The publication concerns an individual enforcement outcome and shows supervisory practice on insider trading.
확인해 볼 사항
Review insider trading controls and employee personal trading policies against the enforcement matter described.
CSA seeks comment on proposed information technology system integrity rule
The Canadian Securities Administrators (CSA) published for comment a proposed National Instrument on information technology system integrity, as indicated by the title and the feed text. The text provided is truncated, so the detailed requirements and the comment deadline are not stated in the source.
확인해 볼 사항
Check the full CSA publication to confirm the scope of the proposed information technology system integrity requirements and which registrant categories they cover.
Check the comment period and submission instructions in the full consultation notice before the deadline.