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News Release 2013


DateTitle

December 20, 2013Investissements Kinked Ltée - AMF withdraws charges

December 19, 2013Canadian securities regulators mandate OSBI's dispute resolution service for registered dealers and advisers

December 19, 2013Canadian Securities Regulators Seek Comment on Derivatives Rule Relating to Mandatory Central Counterparty Clearing

December 18, 2013AMF publishes for comment clearing house, central securities depository and settlement system requirements

December 17, 2013Ressources minières Andréane - over $1.2M in fines

December 17, 2013Canadian Regulators Release Status Reports on Mutual Fund Fees and Best Interest Duty

December 13, 2013AMF adjusts its annual and other fees

December 12, 2013Canadian Securities Regulators Seek Comments on Mutual Fund Risk Classification Methodology

December 10, 2013Change to AMF Senior Management

December 05, 2013AMF intervenes in matter of misappropriation

December 05, 2013Canadian Securities Regulators Seek Comment on Proposed Changes to Registration Rules for Dealers, Advisers and Investment Fund Managers

December 03, 2013Caution regarding currency markets - AMF Cautions Investors About UFX Markets Solicitations

December 02, 2013Service of Bureau decision

November 28, 2013Canadian securities regulators propose streamlining disclosure requirements for private foreign securities offering to certain Canadian investors

November 21, 2013Canadian Securities Regulators Propose New Exemption for Distributions to Existing Security Holders

November 14, 2013Transition to new service provider for the operation of the CSA National Systems

November 12, 2013Financière Hélios Capital - Service of Decision by Bureau

November 06, 2013Public contracts of $10 million or more subject to Integrity in Public Contracts Act beginningin December 2013 

November 04, 2013Matter of Alain Péloquin - Notice of hearing

November 01, 2013Preventive Measures - Prohibitions relating to DBSG Fonds d'investissements inc.

October 28, 2013Illegal distributions in Québec City area - Alain Laroche and Nathalie Belleau charged

October 25, 2013Tuteur Modulaire J.C. Inc. and Jocelyn and Claude Lapierre fined

October 24, 2013AMF and Chambre de la sécurité financière intervene in an embezzlement matter

October 23, 2013Robert McIntosh and PNA Group Inc. fined

October 22, 2013Rocco Di Stefano fined

October 21, 2013Investing in Forex - Caution Regarding Offers from Foreign Companies

October 17, 2013Withdrawal of rights - MonArc Money Solutions Inc.

October 17, 2013CSA seek more information about the quality of audit firms through proposed changes to auditor oversight rule

October 17, 2013Canadian Securities Regulators Introduce amendments to Oil and Gas Disclosure Requirements

October 15, 2013Illegal practice as dealer and distribution without prospectus - AMF files 12 charges against Michel Gosselin

October 11, 2013Michel Lemay fined $12,000

October 10, 2013Matter of Henri Lemieux and Financière Hélios Capital - Service of hearing notice

October 10, 2013AMF sues Robert Morin

October 09, 2013Tanzanite - Claudé Hamel and Carole Bellemare fined $662,500

October 08, 2013Kenneth Battah, Julien McDuff and Synergy Group (2000) Inc. fined

October 08, 2013CSA encourages all Canadians to take time to ''Check Before You Invest''

October 07, 2013CSA Announces Change in Cutover Date for Information Management Services

October 04, 2013Securities manipulation - Charges against Luc Desjardins

October 03, 2013Canadian Securities Regulators Adopt Amendments for Investment Funds Transitioning to IFRS

October 02, 2013Illegal practice as a damage insurance broker - Courtier d'assurance-crédit Berman-Cast Inc., Dominic Spiridigliozzi and Peter Filato fined

October 01, 2013Pierre Couture guilty on one count

September 30, 2013On-line ads – AMF Cautions About Offers to Invest in Precious Metals

September 27, 2013Raphaël Huppé, Vida Pharma Internation Corporation and Effective Control Corporation

September 24, 2013Penal proceedings related to illegal distributions of Millenia Hope

September 23, 2013Carrefour - Freeze order extended

September 23, 2013AMF introduces new financial education initiatives

September 19, 2013Canadian securities regulators provide an update regarding the consultation on proxy adviser firms

September 18, 2013Fonds d'indemnisation des services financiers - AMF releases consultation findings and its recommendations

September 04, 2013Progressive Management Limited - Sixth individual found guilty

August 16, 2013Neuro Biotech Corp. - Application for further detention of items seized

August 16, 2013Raphaël Huppé - Vida Pharma Internation Corporation and Effective Control Corporation - Service of hearing notice

August 15, 2013Canadian Securities Regulators Review Canada’s Proxy Voting Infrastructure For Shareholders

August 14, 2013Carrefour - Notice of hearing

August 12, 2013Canadian Securities Regulators Provide Update On Transition To New National Systems Service Provider

August 08, 2013Global Finishing Inc. - AMF charges Richard Diotte and France Veer

August 08, 2013Binary options – AMF Cautions About Solicitations by Banc de Binary

August 07, 2013Illegal practice and illegal distributions - AMF Seeking Over $1 Million in Fines Against Five Individuals

August 07, 2013Illegal practice as a dealer - Pasquale Schiavone Found Guilty

August 06, 2013Illegal practice as a dealer - Irène Hornez and Luc Chartrand guilty

August 06, 2013AMF cautions about Martin Boyer offerings

August 06, 2013Service of Bureau Decision

August 05, 2013Securities manipulation - AMF charges Clément Forget and Claude Parent

July 31, 2013Consolidated International Investment Holdings - Fined $8,000

July 26, 2013Illegal activities as a dealer and distribution without prospectus - AMF charges against Frédéric Lavoie

July 26, 2013Illegal practice as a dealer - AMF lays charges against Alain André Desarzens

July 25, 2013René Adam barred from acting as adviser

July 25, 2013Illegal practice as a dealer - AMF charges Solange Poncelet-Leroy and Gilbert Asselin

July 25, 2013Canadian securities regulators enter into supervisory cooperation arrangements with EU and EEA financial regulators

July 25, 2013Canadian securities regulators will not implement proposed rules for venture issuers

July 24, 2013AMF intervenes in matter of misappropriation

July 19, 2013Canadian Securities Regulators Announce Results of Continuous Disclosure Reviews for Fiscal 2013

July 18, 2013Excellence program - AMF announces new university scholarship recipients

July 18, 2013Canadian Securities Administrators publish guidance on relationship disclosure practices

July 17, 2013Education and Good Governance Fund - AMF grants over $1.5 million for 11 projects

July 17, 2013Financière Hélios Capital - Service of Decision by Bureau

July 16, 2013CSA Requirements to Improve Disclosure for Investors Are Now In Effect

July 11, 2013Matter of Alain Péloquin - Notice of hearing

July 10, 2013Illegal practice as a dealer - Éric Landry pleads guilty

July 10, 2013Illegal practice and distributions without a prospectus - René Sauriol pleads guilty

July 09, 2013Canadian Securities Regulators Release Three-Year Business Plan

July 09, 2013Caution - AMF urges caution regarding sustainable development investment offerings

July 04, 2013Réal Samson and Suzanne Labrecque - Notice of hearing

July 04, 2013Canadian Securities Regulators Establish Regulatory Framework to Manage Risks Associated with Direct Electronic Access

July 03, 2013Illegal practice and illegal distributions - Over 40 charges against Gilbert Lasnier, Guy-Paul Gauthier, Michael E. Heller and Beluga Composites Corporation

July 02, 2013Norshield - René Joubert Fined $225,000

June 27, 2013Saverina Cottone sentenced to 20 months in prison and fined $128K

June 21, 2013Matter of Henri Lemieux and Financière Hélios Capital - Service of hearing notice

June 20, 2013Integrity in Public Contracts Act - Authorization for construction contracts over $10 million

June 19, 2013Louis Morisset succeeds Mario Albert as AMF President and CEO

June 19, 2013AMF identifies Desjardins Group as a systemically important financial institution for Québec

June 18, 2013Illegal practice and illegal distributions in Québec City area - Three Co-accused Fined $193,000

June 17, 2013Carole Morinville to pay over $1,650,000 to AMF

June 14, 20132012 Report on Financial Services Cooperatives - Financial services cooperatives, solid key players in Québec's economy

June 14, 2013Continued above-average profits in Québec automobile insurance industry in 2012

June 14, 2013Improved solvency of insurers

June 14, 20132012 Annual Report on Trust Companies and Savings Companies - Solid capitalization and steady profitability of trust and savings companies in 2012

June 13, 2013Canadian Securites Regulators Now Require Delivery of the Fund Facts for Mutual Funds

June 06, 2013Canadian Securities Regulators Seek Comment on Derivatives Rules Relating to Product Determination and Trade Repositories and Data Reporting

June 05, 2013Raphaël Huppé, Vida Pharma Internation Corporation and Effective Control Corporation - Service of Decision by Bureau

June 05, 2013AMF cautions about offers from Vilaron Corporation and Simon Vodovos

June 04, 2013Caution about solicitations from Joseph Gerard (Gerry) Otis

May 30, 2013Canadian Securities Regulators Adopt “Pre-Marketing” and “Marketing” Amendments to Prospectus Rules

May 29, 2013Carrefour - Freeze order extended

May 24, 2013Illegal practice and illegal distributions - François Dumouchel and related companies facing 37 charges

May 23, 2013Triglobal - 2007-033 - Freeze order extension

May 22, 2013Illegal practice as dealer and illegal distribution - Fines of $140,000 in matter of Intra Pacifico Consultant inc.

May 14, 2013Warning – Caution Regarding www.anyoption.com

May 08, 2013Illegal practice as a dealer and distribution without prospectus - AMF files 15 charges against Jean Desbiens, Ghislaine Desbiens and Services financiers P.G.Q.S. Inc.

May 07, 2013Richard Silas fined $8,000

May 06, 2013Illegal Distributions - Three purported dealers fined $78,000

May 02, 2013Raphaël Huppé, Vida Pharma Internation Corporation and Effective Control Corporation - Service of hearing notice

April 29, 2013Misrepresentation - AMF seeks $10,000 fine against Dimitrios Platanitis

April 26, 2013Éric Weynant charged with illegal distributions

April 26, 2013Canadian Securities Regulators undertake review following loss of personal information

April 25, 2013Triglobal - 2007-033 - Service of notice of hearing

April 25, 2013New service provider for the operation of the CSA National Systems

April 25, 2013Beware of schemes that promise a quick and easy profit

April 24, 2013Montréal CAVAC and AMF in support of victims of financial crime

April 19, 2013No retrial in Alain Valiquette matter

April 18, 2013Illegal Insider Trading Allegations - AMF launches insider trading proceedings against Jacques Gauthier

April 18, 2013CSA seeks comment on proposals for derivatives market registration and regulation

April 17, 2013AMF files 109 charges and seeks over $1 million in fines against three individuals

April 12, 2013Service of Bureau Decision

April 11, 2013Carrefour - Notice of hearing

April 10, 2013Illegal Distributions - Bernard Simon Nagy fined $18,000

April 03, 2013Integrity in Public Contracts Act - 25 new Ville de Montréal contracts now covered under the Act

March 28, 2013March is Fraud Prevention Month - Caution to be Used When Solicited by Rainmaker

March 28, 2013Canadian Securities Regulators Implement Disclosure Requirements For Investment Costs And Performance

March 27, 2013Canadian Securities Regulators Seek Comment on Proposals to Modernize Investment Fund Rules

March 25, 2013Integrity in Public Contracts Act and City of Montréal - AMF Clarification

March 25, 2013Financière Hélios Capital - Service of decision by Bureau

March 25, 2013Canadian Securities Administrators announce March 26 as Check Registration Day

March 20, 2013In the matter of Soficap - Jean-Marc Gaudreau fined $57,000

March 18, 2013Suspicious Internet Solicitation - Caution when dealing with DBSG Fonds d'investissements inc.

March 14, 2013Canadian Securities Regulators Propose Framework for Shareholder Rights Plans

March 14, 2013Consultation Pertaining to Defensive Tactics in response toTake-Over-Bids - AMF Proposes Alternative Approach to Regulation of DefensiveTactics

March 13, 2013Trading in Orbite Aluminae stock

March 13, 2013Canadian Securities Regulators Seek Comment on Early Warning Reporting

March 12, 2013March is Fraud Prevention Month - Caution to be used when solicited by Profitable Sunrise

March 11, 2013In the matter of Groupe GDM Inc. - Steve Goyette fined $14,000

March 11, 2013Illegal practice as a dealer and illegal distribution - Dominic Lacroix and Micro-Prêts plead guilty

March 05, 2013Canadian Securities Regulators Stress being Proactive is Key in Preventing Investor Fraud

February 28, 2013Matter of Henri Lemieux and Financière Hélios Capital - Service of hearing notice

February 28, 2013Tempus - Illegal Practice and Distributions - Raymond Parent fined $82,000

February 28, 2013Canadian Securities Regulators Adopt Amendments to Prospectus Rules

February 21, 2013Canadian Securities Regulators' Enforcement Report Highlights Fraud

February 20, 2013AMF urges utmost caution with regard to Scorpion Performance Inc.

February 20, 2013Integrity in Public Contracts Act - New contracts now covered under Act

February 19, 2013AMF analyzing trading in Orbite Aluminae securities

February 18, 2013Penal proceedings against the officers of Mount Real - Paul D'Andrea fined $655,000

February 08, 2013Caution - www.leaderoption.com website

February 08, 2013Raphaël Huppé, Vida Pharma Internation Corporation and Effective Control Corporation - Service of decision by Bureau

February 08, 2013AMF senior management appointment

February 07, 2013Gestion Guychar (Canada) inc. - Hefty fines against Guy Charron, Richard Lanthier and Huguette Gauthier

February 04, 2013Reciprocal Order - Cease-trade orders against Maple Leaf Investment Fund Corporation, Tulsiani Investments Inc. and their principal officers

February 04, 2013Canadian Securities Administrators
renew term of Chair, appoint new Vice-Chair

February 01, 2013Carrefour - Freeze order extended

January 30, 2013Illegal practice as a dealer - AMF launches penal proceeding against Raynald Chevrier

January 29, 2013Solicitation through Internet advertising - Pascal Lévesque Ordered to Cease Activity

January 29, 2013Education and Good Governance Fund - AMF grants over $1.4 million for 13 projects

January 28, 2013Triglobal - 2007-033 - Freeze order extension

January 25, 2013Solicitation of investors on the Internet - David Kam Ordered to Cease Activity

January 23, 2013Use of privileged information - Véronique Jallabert pleads guilty

January 22, 2013Gilbert Fournier - AMF Investigators' Powers Confirmed

January 17, 2013Solicitation of investors on the Internet - Alexandre Migneault Ordered to Cease Activities

January 15, 2013Raphaël Huppé, Vida Pharma Internation Corporation and Effective Control Corporation - Service of hearing notice

January 10, 2013Canadian Securities Regulators Adopt Amendments to Improve Scholarship Plan Disclosure for Investors

January 09, 2013Integrity in Public Contracts Act - Certain Ville de Montréal contracts now covered under the Act

January 08, 2013Under freeze orders since February 2011 - Alain Péloquin and Isabelle Cantin ordered to disgorge over $40,000