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Company: Autorité des marchés financiers

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Investment industry reps, miners and consultants form committee

gavel

The offences involved unregistered dealing and illegal distribution

gavel

Firm and its founders ordered to pay US$6.9 million

open door business

Hugo Lacroix had been serving as interim superintendent for securities markets since January

UQAM professor Richard Guay will chair the scientific committee

usiness team in a meeting looking at a sheet of paper

The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients

Young Businesswoman Addressing Boardroom Meeting

A review found that 17% of board seats are now held by women, up from 15% a year ago

Block letters spelling fraud, with magnifying glass

Permanently banned from Ontario's markets, Tang may now be soliciting investors in Quebec

rules and regulations written on folder

The shortcomings may be addressed through the CSA's client-focused reforms

Team project work Analyze reports plans, papers, documents, statistics calculations

More than half of reviewed cases required remedial action