Lotz accused failing to disclose information to his firm
For regulators, as for many organizations, hiring and hanging onto quality employees is a challenge. Indeed, that chore appears to be at the heart of the biggest problem regulators have in carrying out their responsibilities.In mid-January, the Canadian Securities Administrators published a report detailing the outcome of its most recent oversight review of the Investment […]
Ng suspended for one year
A hearing panel of the Investment Dealers Association of Canada Peregrine Financial Group Canada Inc. $40,000 being capital deficient.Following a settlement hearing, the panel accepted a settlement agreement negotiated between staff of the IDA and Peregrine. Peregrine admitted to being capital deficient from December 2005 to March 2006.Upon notification of the capital deficiency, Peregrine took […]
Mansour fined, Séguin awaits penalty hearing
Business partners admit to misconduct related to options orders
Michaels withheld details off-book share sales
Canadians prohibited from providing financial services
Wall disciplined for misdeeds
Combination ensures strong, streamlined, self-regulation in Canadian capital markets