Jean-François Pelletier pleaded guilty to three charges brought against him by the Quebec Securities Commission for acting as a securities dealer without registration.Justice Carol Richer of the Court of Quebec ordered him to pay a $7,000 fine within 18 months.Pelletier was charged with: having helped a company distribute a form of investment without it having […]
CVMQ says no evidence centralized regulation will be cheaper
No support for federal regulatory model says Godin
Jean Dussault fined $10,000
The Ontario and Quebec securities commissions have approved a settlement with CIBC World Markets Inc. at a joint hearing held Thursday. In the agreements, CIBC World Markets admits that it failed to make adequate disclosure of its potential conflicts of interest in recommending the purchase of shares of Shoppers Drug Mart Corp. in five equities […]
Hearing to continue on March 17
Hearing scheduled for February 18
Godin to take QSCpost
Strong regulator needed to rebuild investor trust says Crepin