Eric Tremblay admitted he misled OSC staff investigating insider trading involving Amaya Gaming Group
A 2016 compliance exam identified inadequate due diligence with regard to exempt market products
Credit rating agency agrees to pay more than US$16 million in penalties
The commission set aside the decisions of an IIROC hearing panel and substituted its own decisions
Harold Backer induced clients to invest in non-existent mutual funds
The regulator alleges Marc Cohodes made misleading claims about Badger Daylighting Ltd. while shorting its stock
David Gary Durno implemented an active trading strategy for two senior clients that “generated large commissions for himself and his firm but reduced client profits”
The advisor borrowed money from a client, representing “breaches of duties which lie at the very root of the agent-client relationship”
The case against Vancouver advisor Albert Tassone returns to an IIROC hearing panel
Former investment dealer agrees to pay more than $170,000 to regulator