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News Release 2014


DateTitle

December 22, 2014Consumer reminder - Do you provide remunerated transportation services? Are you properly insured?

December 19, 2014AMF adjusts its annual and other fees

December 18, 2014On-line trading platforms - Updated list of unauthorized sites

December 15, 2014Distributions without a prospectus - Albert Barbusci and Cadence Holdings inc. fined $60,000

December 15, 2014Canadian Securities Regulators Articulate Concerns on Routing Retail Equity Orders to U.S. Dealers

December 11, 2014Gestion Ar-Phi et associés inc. fined $9,000

December 11, 2014Matter of Henri Lemieux and Financière Hélios Capital - Service of notice of presentation

December 11, 2014Canadian Securities Regulators Finalize Requirements for Pre-sale Delivery of the Fund Facts for Mutual Funds

December 09, 2014Method of service in the matter of Michel Ange Romain and Vacances Caribana inc.

December 04, 2014Canadian securities regulators introduce amendments to oil and gas disclosure

December 04, 2014Canadian Securities Regulators release IIROC Oversight Review Report

December 03, 2014Illegal distributions - AMF sues Albert Edward Moore

December 02, 2014Allegations of trading based on privileged information - AMF to appeal decision

December 02, 2014Illegal receipt of a commission - Claude Sicotte guilty

December 01, 2014Notice to investors in the matter of Justin Maisonneuve-Strasbourg / Justin Jonathan Service Financier

December 01, 2014Warning - 1,000% return in 21 days - Too good to be true?

November 27, 2014Canadian Securities Regulators propose harmonized approach to clearing agency requirements

November 27, 2014Canadian Securities Regulators propose significant changes to the rights offering regime

November 24, 2014Stay of proceedings against André Bouchard

November 21, 2014Stock market manipulation - AMF launches penal proceedings against Bernard Allaire

November 20, 2014ICC Capital Management - Three accused plead guilty

November 19, 2014AMF launches penal proceeding in matter of Ressources Lingot d'Or inc.

November 18, 2014AMF seeks fine against Gilles Dufresne

November 18, 2014Illegal distributions - AMF lays charges against Yves Létourneau

November 17, 2014Illegal operation of money-services business - Penal proceeding against Sylvain Brochu

November 14, 2014Illegal Practice and Illegal Distributions - Four respondents fined $569,00

November 13, 2014In support of victims of financial crime in Québec - AMF and 6 other CAVAC Centres sign agreement

November 13, 2014On-line trading platforms – Updated list of unauthorized sites

November 07, 2014Service of Bureau Decision

November 05, 2014High-Yield Investment Programs - Caution when dealing with Steeve Beaudin and maxhyip.com

November 04, 2014Canadian Securities Administrators invite investors to get the Fund Facts during Financial Literacy Month

October 31, 2014Fines against Serge Guertin

October 30, 2014Derivatives Market Transparency - Market participants, do you have your LEI?

October 22, 2014Illegal Practices and Distributions - Fines against Robert Lebel, Lucie Roussel and Réjean Lessard

October 21, 2014Illegal practice and distributions - Marc Jémus guilty

October 21, 2014Administrative penalties against Simon Vodovos and Vilaron

October 17, 2014Yves Besner pleads guilty

October 17, 2014Transaction based on privileged information - Jacques Gauthier fined $9,000

October 15, 2014Robert Legault fined $89,000

October 15, 2014Canadian Securities Regulators Finalize Rule Amendments Regarding Disclosure of Women on Boards and in Senior Management

October 14, 2014Illegal practice as insurance of persons representative - Robert Lemieux pleads guilty

October 10, 2014Raphaël Huppé found guilty

October 10, 2014Canadian securities regulators provide an update on early warning reporting system project

October 09, 2014Matter of Alain Péloquin - Service of notice of presentation

October 08, 2014Illegal practice - AMF sues Paul Apostolos Sigalos

October 08, 2014Illegal practice as insurance of persons representative - Fred Pincemin pleads guilty

October 07, 2014In support of victims of financial crime in Québec - AMF and 3 other CAVAC Centres sign agreement

October 07, 2014CSA warns Canadians - Don't buy into the hype when investing

October 06, 2014Julie Snyder and France Beaudoin star in AMF's new campaign

October 06, 2014AMF Advisory Board - Three new appointments

October 03, 2014Financière Hélios Capital - Service of Decision by Bureau

October 01, 2014Annual report on financial institutions - An integrated view of financial institution activities

October 01, 2014Mass e-mail solicitation - Warren English and Méga International Business imposed hefty penalty

September 24, 2014Additional Ville de Montréal contracts covered by Integrity in Public Contracts Act

September 23, 2014$226,500 fine for illegal practice and illegal distributions

September 23, 2014Derivatives market transparency - Three entities recognized as trade repositories in Québec

September 22, 2014Market Manipulation - AMF launches penal proceeding against Carol McKeown, Daniel Ryan and Downshire Capital inc.

September 19, 2014Research underway by Canadian securities regulators into mutual fund fees

September 17, 2014Jonathan Awde fined

September 17, 2014Service of Bureau Decision

September 16, 2014IAB Média inc. - Service of notice of presentation

September 11, 2014Canadian securities regulators move forward with harmonized regulatory approach for take-over bids in Canada

September 11, 2014Derivatives market transparency - Third entity seeks recognition as trade repository in Québec

September 10, 2014Abusive activities on over-the-counter markets AMF takes steps against market manipulation

September 09, 2014AMF launches penal proceeding targeting market manipulation activities

August 27, 2014Matter of Henri Lemieux and Financière Hélios Capital - Service of notice of presentation

August 26, 2014Neuro Biotech Corp. - Application for further detention of items seized

August 12, 2014Caution regarding on-line trading platforms

August 07, 2014Warning about persons purporting to be acting for AMF

August 06, 2014Illegal practice and illegal distributions - Three individuals fined $91,000

August 05, 2014Gestion 2007 inc. and Gestion International 2007 inc. - Six individuals fined over $1.5M

August 04, 2014Claude Martineau ordered to cease activities as representative

July 31, 2014Derivatives market transparency - Two entities seek recognition as trade repositories in Québec

July 30, 2014Use of forged documents, solicitation on Internet and through social media - AMF intervenes against two purported advisers and dealers

July 28, 2014Freeze order and suspension against Donald Murphy

July 18, 2014AMF takes action against Jean-Patrice Nadeau

July 17, 2014AMF files 7 charges against Stéphane Corbeil and Ian Roy

July 17, 2014Canadian securities regulators announce results of continuous disclosure reviews for fiscal 2014

July 17, 2014Canadian securities regulators adopt amendments to the auditor oversight rule

July 16, 2014Illegal practice as a dealer and distribution without a prospectus - AMF files charges against Marie-France Dayan

July 15, 2014Service of Bureau Decision

July 15, 2014Bans against Beryl Henderson

July 08, 2014Illegal practice and illegal distributions - AMF files penal proceeding against Sylvain Bélair and Patrick Boisvert

July 03, 2014Excellence Program - AMF announces latest university scholarship recipients

July 03, 2014Canadian Securities Regulators seek comments on proposed amendments related to gender diversity

June 25, 2014Education and Good Governance Fund - AMF supports 13 projects

June 19, 2014Canadian securities regulators adopt amendments to modernize investment fund rules

June 17, 2014Financière Hélios Capital - Service of decision by Bureau

June 16, 2014CSA Investor Alert: Caution urged for those looking to invest in medical marijuana stocks

June 13, 2014Fund Facts - Helping consumers make better investment decisions

June 09, 2014Matter of Alain Péloquin - Notice of hearing

June 09, 2014Preventive Measures - Jean-François Roy undertakes not to solicit investors without registration

June 03, 2014Warning about investment solicitations related to Lovaganza project

June 03, 2014Illegal use of title of financial planner - Monique Langelier pleads guilty

June 02, 2014Transaction based on privileged information - AMF penal proceeding against Francis Pelletier

May 22, 2014Canadian securities regulators propose changes to streamline venture issuer disclosure

May 21, 2014Matter of Henri Lemieux and Financière Hélios Capital - Service of hearing notice

May 15, 2014CSA Publishes Proposed Amendments to Order Protection Rule for Comment

May 15, 2014$21,500 fine for market manipulation

May 14, 2014AMF files 9 charges against Carol Voyer

May 13, 2014Illegal practice as dealer and aiding with illegal distribution - Penal proceeding against Fernand Plante and Richard Rouillard

May 13, 2014Illegal distribution and illegal practice as a dealer - AMF files 28 charges against three individuals

May 06, 2014Three individuals fined $490,000

May 02, 2014Cyber-surveillance - AMF takes action against solicitations

May 01, 20142 other CAVAC Centres sign agreement in support of victims of financial crime

May 01, 2014Karatbars Québec activities covered by prohibition orders

April 30, 2014AMF Index - Financial awareness up slightly among Quebeckers

April 25, 2014Freeze and prohibition orders against Asim Ahmed and Mahmood Ahmed

April 24, 2014Canadian securities regulators publish for comment guidance for proxy advisory firms

April 23, 2014Illegal distribution and illegal practice as a dealer - 24 charges against Yvan Leclair

April 17, 2014Illegal practice as a dealer and distribution without a prospectus - AMF files 60 charges against Samir Daher

April 11, 2014Suspicious Internet solicitation - Caution with respect to solicitations related to Molecule6

April 11, 2014AMF takes action against Yvon Perreault

April 10, 2014Two years for Pierre Veillet

April 10, 2014Derivatives Trade Reporting Implementation Date to be Extended

April 09, 2014Assurances Crédit Virage licence suspended

April 08, 2014AMF intervenes against Kader Hanahem

April 07, 20143 CAVAC Centres and AMF in support of victims of financial crime in Québec

April 07, 2014Canadian securities regulators advance mutual fund fees review with request for research proposals

April 04, 2014Illegal practice and illegal distributions - Penal proceedings relating to two schemes

April 03, 2014Canadian Regulators enter into agreement with CFTC to enhance cross-border supervision

April 02, 2014Proceedings for illegal distributions related to Gestion Read inc.

March 28, 2014Illegal practice - AMF lays charges against Patrick Massé and Dave Tremblay

March 26, 2014Canadian securities regulators propose pre-sale delivery of Fund Facts for mutual funds

March 24, 2014Service of Bureau Decision

March 21, 2014Distribution without prospectus and illegal practice as dealer - Daniel Boivin found guilty

March 20, 2014Securities Regulators seek comment on proposed changes to OM exemption and two new proposed reports of exempt distribution

March 20, 2014Canadian Securities Regulators Propose New Crowdfunding Exemptions

March 19, 2014Warning - High-Yield Investment Programs

March 18, 2014AMF takes action to stop illegal distribution scheme

March 18, 2014Canadian securities regulators announce March 19, 2014 is Check Registration Day

March 13, 2014Canadian Securities Regulators adopt new exemption for distributions to existing security holders

March 11, 2014March is Fraud Prevention Month - Caution regarding offers related to WCM777

March 04, 2014Canadian securities regulators encourage Canadians to be proactive in preventing investment fraud

February 28, 2014Financières Hélios Capital - Service of Decision by Bureau

February 27, 2014Canadian Securities Regulators propose changes to the accredited investor and minimum amount investment prospectus exemptions

February 24, 2014Matter of Alain Péloquin - Notice of hearing

February 24, 2014Warning - Caution regarding foreign exchange market

February 24, 2014Suspicious Internet Solicitation - Caution when dealing with Affluential Group Corp.

February 20, 2014Illegal Practice and Illegal Distribution of Shares in Corporation Evolutra - AMF files charges against 5 individuals and 2 companies

February 20, 2014Canadian Securities Regulators' 2013 Enforcement Report highlights advanced technologies to combat illegal activities

February 19, 2014In the Matter of Norshield - Enrico Bruni fined $18,000

February 17, 2014Illegal Distributions - Ressources Pershimco inc. and president fined $82,500

February 13, 2014Neuro Biotech Corp. - Service of application for further detention of items seized

February 05, 2014Financial Sector Stability Assessment of Canada - IMF Again Highlights Strong Oversight

February 05, 2014Alert - Bitcoin virtual currency

January 31, 2014Matter of Henri Lemieux and Financière Hélios Capital - Service of hearing notice

January 28, 2014Matter of Paul Gagné - AMF's appeal application denied

January 28, 2014Use of privileged information - Further proceeding against Patrice Live

January 27, 2014Illegal practice in insurance of persons - AMF lays charges against Robert Lemieux

January 23, 2014Illegal practice and distributions - AMF charges against Bryan Singfield and Avy Cohen

January 23, 2014Canadian securities regulators propose changes to the prospectus-exempt distribution of short-term debt and short-term securitized products

January 22, 2014COOP Harmonie Plus - Fines against Nicholas Viau

January 21, 2014Illegal practice in insurance of persons - AMF files suit against Fred Pincemin

January 20, 2014Excellence Program - AMF Announces Names of Latest University Scholarship Recipients

January 20, 2014Court rules damage insurance consultants must register with AMF

January 17, 2014Illegal practice in damage insurance - AMF files suit against Félicien Ngankoy

January 16, 2014CSA seek comment on derivatives Model Rule for customer clearing and protection of customer collateral and positions

January 16, 2014AMF supports six education projects

January 15, 2014CSA Announces Successful Transition of CSA National Systems Operations and Support to CGI

January 14, 2014Preventive Measures - Prohibitions relating to Martin Boyer

January 13, 2014Progressive Management Limited - Seventh Individual Convicted

January 09, 2014CSA publishes guidance for know-your-client, know-your-product and suitability obligations

January 08, 2014Supreme Court Dismisses La Souveraine Appeal

January 07, 2014Illegal Distribution and Illegal Practice as a Dealer - Laurent Beaudoin pleads guilty to 33 charges

January 03, 2014CSA Announces Service Transition Cutover Date for Information Management Services