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Judge gavel, scales of justice and law books in court

An OSC panel was reasonable in concluding that advisors should have known they were acting on inside information

A former legal assistant with a Bay Street law firm is alleged to have provided an institutional trader with material, non-public information

MFDA bans former rep for recommending unsuitable strategy

Former Aston Hill Asset Management exec has been banned from trading for two years and will pay a total of $11,000 for his role in the scandal

The decision marks the first time an appellate court in Canada has revoked a voluntary settlement

A portfolio manager, various executives and an advisor are alleged to have traded on information that was subject to a non-disclosure agreement

The are concerns the reports may increase costs for large shareholders

Court rules in favour of labour-sponsored venture fund against fund manager

Although the Ontario court dismissed the appeals of a securities lawyer and three brokers, it found that the OSC hearing panel’s reasoning was flawed in the case of one broker

Court rules in favour of labour-sponsored venture fund against fund manager

The case stemmed from an OSC ruling in 2015 that the defendants had received inside information concerning pending merger deals

12 people are alleged to have used access to privileged information about impending Amaya acquisitions to reap nearly $1.5 million in profit over five years

IIROC reaches settlement with three former All Group reps

The former accountant with KPMG has agreed to seven-year ban and monetary penalties after admitting to insider trading and tipping

  • June 8, 2016 December 19, 2017
  • 12:10