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DateTitle

January 13, 2017Illegal practice and distributions without a prospectus - Danny Gagné and ISpeedzone Inc. fined $120,000

December 20, 2016Matter of Tran et al. - Service of decision by the Tribunal administratif des marchés financiers

December 16, 2016Illegal distribution and practice in the foreign exchange (FOREX) market - AMF charges Michel Livernoche and Pascal Renaud

December 16, 2016AMF announces the members of its Technological Innovation Advisory Committee

December 16, 2016AMF adjusts its annual and other fees

December 15, 2016Interim cease trade orders against dealer Beaudoin, Rigolt & Associés inc. and its representatives

December 15, 2016Canadian Securities Regulators Provide Update on Consultation on Option of Discontinuing Embedded Commissions

December 15, 2016Canadian Securities Regulators Release Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives

December 14, 2016Penalties of $5,500 against Daniel Salanon and $2,500 against Daniel Salanon Industries inc.

December 13, 2016Freeze and prohibition orders against Sidis Capital & Associés and Louis-Philippe Gagné

December 12, 2016Illegal practice in group insurance of persons - Stéphane Corbeil fined over $18,000

December 09, 2016Illegal practices and distributions - Freeeze order against André Lesage, Louise Angers and 4144589 Canada inc.

December 08, 2016Illegal practice as a dealer and aiding with illegal distribution - Fernand Plante acquitted

December 08, 2016Canadian Securities Regulators Publish Final Amendments Mandating a Summary Disclosure Document and Delivery Regime for Exchange-Traded Mutual Funds

December 08, 2016Canadian Securities Administrators Publish Final Amendments Mandating a CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts and ETF Facts

December 06, 2016Interim prohibition orders issued against Philippe Beaudoin and Pierre-Luc Bernier

December 05, 2016Nosfinances.com - Service of decision by Tribunal administratif des marchés financiers

November 29, 2016Binary options - AMF updates its list of illegally operating platforms

November 25, 2016AMF holds consultation on regulation of real estate investments

November 25, 2016Matter of Tran et al. - Service of notice of presentation

November 25, 2016Foreign Exchange Market (FOREX) - AMF cautions about solicitations by Kaizen Global Network

November 18, 2016Illegal practice and distribution - AMF files charges against Pierre Morency and a corporation

November 17, 2016CSA Announces Cyber Security Roundtable

November 17, 2016Canadian Securities Regulators Publish Guidance for Portfolio Managers Working with Investment Dealers

November 09, 2016Illegal practice as an insurance representative - AMF charges Harold Mongrain and Réal Fiset

November 03, 2016Illegal operation of a money-services business - Payons Comptant Valleyfield and three individuals fined $71,400

November 02, 2016Nstein Technologies - Tribunal administratif des marchés financiers imposes over $440,000 in fines

November 01, 2016Illegal operation of a money-services business - Thi Thu Hong and Vinh Phuc Ngo fined $12,000

November 01, 2016Illegal practice and aiding in making a distribution without a prospectus - AMF charges Dimitrios Platanitis

November 01, 2016AMF official elected to IADI Executive Council

October 31, 2016Illegal Practice and Distributions - Christian Turcotte sentenced to 6 months in prison and fined $148,000

October 28, 2016Carrefour - Gérald Parkin, Bartolomeo Torino and Alain Lefrançois acquitted

October 27, 2016Illegal practice as a securities dealer - Julie Trudel and Richard Paterson fined $26,000

October 24, 2016AMF announces members of Derivatives Advisory Committee

October 19, 2016Canadian securities regulators use videos to raise awareness about client reporting requirements

October 13, 2016Illegal practice as an insurance of persons representative - Alan Murphy and Jean-François Chouinard fined a total of $320,000

October 12, 2016Freeze orders and restitution order lifted - AMF recovers funds misappropriated by Donald Murphy

October 07, 2016Judgment revoked - Nathalie Beckers to be re-tried

October 04, 2016AMF announces members of mining advisory committee

September 29, 2016Canadian Securities Regulators Provide Update on Consideration of Concerns Regarding Report of Exempt Distribution

September 29, 2016AMF officials to head major IOSCO Committee

September 28, 2016Regulators Release New Results on Women on Boards and in Executive Officer Positions

September 27, 2016Canadian Securities Regulators Publish Update on Cyber Security for Market Participants

September 22, 2016Canadian Securities Regulators Announce Roundtables to Discuss Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients

September 22, 2016Canadian Securities Regulators Seek Comment on Alternative Funds Framework

September 20, 2016Matter of Alain Péloquin - Notice of presentation

September 19, 2016Fer de Lance Foundation - Service of notice of presentation

September 19, 2016Illegal practice and distribution without a prospectus - Guy-Paul Gauthier, Michael E. Heller and Beluga Composites Corporation fined $240,000

September 15, 2016Continuous Disclosure Review Program - AMF releases 2015-2016 Activity Report

September 14, 2016Call for Candidates - AMF creates a technological innovation advisory committee

September 13, 2016Service of Decision by Tribunal Administratif des Marchés Financiers

September 06, 2016In the matter of Justin Maisonneuve-Strasbourg - Service of notice of presentation

September 01, 2016Regulators Publish Update on Consideration of Concerns Regarding Reduced Access to Canadian Foreigh-Currency Fixed Income Offerings

August 30, 2016Reciprocal prohibition orders against Paul Azeff and Korin Bobrow

August 25, 2016Illegal practice and distribution without a prospectus - AMF launches penal proceedings against Carol Voyer, Gilles Tremblay and Granite Sélect

August 24, 2016Illegal activities and aiding with distribution without prospectus - Jacinthe Forest fined $42,000

August 23, 2016Illegal practice and distribution without a prospectus - AMF files charges against Gilles Payette

August 22, 2016Illegal operation of private automated teller machines - AMF takes action against ten businesses

August 22, 2016Canadian Securities Regulators to Measure Impact of Point of Sale Amendments and Phase 2 of the Client Relationship Model

August 18, 2016Canadian securities regulators seek comment in advance of move to T+2 settlement cycle

August 16, 2016The Talking money in class! contest - Many prizes to be won - AMF invites teachers to talk about money

August 11, 2016Matter of Tran et al. - Service of notice of presentation

August 08, 2016Nicole Gadbois-Lavigne and Réal Labelle appointed to AMF Advisory Board

August 05, 2016Binary options - AMF cautions consumers

August 04, 2016Nosfinances.com - Service of Decision by Tribunal

August 04, 2016Reminder to consumers - Sharing economy: Not without risk

July 22, 2016Illegal practice and aid with illegal distribution - Jean-Claude Vachon fined $12,000

July 22, 2016Illegal practice in insurance of persons - AMF lays charges against Bryan Bissonnette

July 21, 2016Illegal practice and distribution without a prospectus - AMF files charges against Michael Lee Mitton, Cynthia Lucas and Cytron Capital Group Inc.

July 18, 2016Illegal practice as a dealer and distribution without prospectus - Jean Desbiens, Ghislaine Desbiens and Services financiers P.G.Q.S fined almost $200,000

July 18, 2016Canadian securities regulators publish results of continuous disclosure reviews for fiscal 2016

July 15, 2016AMF acts to end insider trading scheme

July 13, 2016Private automated teller machines - AMF files charges against Albert Sleiman, Ghassan Hayek and five companies

July 12, 2016Nosfinances.com - Service of notice of presentation

July 07, 2016Canadian Securities Regulators Release Latest Three-Year Business Plan

July 07, 2016Canadian Securities Regulators Propose Changes to Custody and Other Requirements for Dealers, Advisers and Investment Fund Managers

July 07, 2016Canadian securities regulators publish consultation paper on margin and collateral requirements for non-centrally cleared derivatives

July 06, 2016Canadian securities regulators release report on 2013-2016 achievements

July 04, 2016CCIR releases documents for consultation

June 30, 2016Illegal practice as a securities dealer - Richard Rouillard fined $10,000

June 29, 2016Canadian securities regulators issue guidance in the event of the disruption of mail service

June 29, 2016Canadian Securities Regulators Outline Next Steps in Examination of Mutual Fund Fees

June 28, 2016Illegal practice and use of forged documents - Donald Murphy fined $200,000

June 27, 2016Illegal practice as damage insurance broker - AMF takes action against Location Accès Crédit and Michel Coutu

June 23, 2016Securities - New measures to better protect Québec investors

June 23, 2016Investment Industry Regulatory Organization of Canada to Act as Information Processor for Corporate Debt Securities

June 22, 2016Carrefour - Service of notice of presentation

June 22, 2016Special method of service in respect of Maxime Robichaud - AMF intervenes to shut down network targeting young clientele

June 21, 2016Illegal Practice as Claims Adjuster - Gilles Dufresne fined $3,500

June 20, 2016AMF launches whistleblower program

June 20, 2016Canadian Securities Regulators Publish List of Unprotected Marketplaces

June 16, 2016Illegal practice as insurance of persons representative - Alan Murphy and Jean-François Chouinard found guilty

June 13, 2016Service of Bureau Decision

June 13, 2016Technological innovation in the financial sector - AMF creates Fintech Working Group

June 10, 20162015 Annual Report on Financial Institutions - Continued growth in a challenging economic and technological context

June 07, 2016Matter of Justin Maisonneuve-Strasbourg Service of Decision by Bureau

June 03, 2016Illegal practice as a securities dealer - Guy Gravel fined $16,000

June 02, 2016Canadian Securities Administrators 2016 Investor Education Survey: Increasing number of Canadians reviewing risk tolerance

June 01, 2016Canadian Securities Regulators announce contractual agreement to renew CSA National Systems

May 27, 2016Illegal practice as a damage insurance broker - Félicien Ngankoy fined $18,000

May 20, 2016Matter of Alain Péloquin - Notice of presentation

May 20, 2016Nicolas De Smet makes commitment with AMF and Bureau de décision et de révision

May 19, 2016Illegal practice as securities adviser - Luc Bousquet and MIB Conseils inc. fined $50,000

May 18, 2016Hippocampe - Simon Déry fined $100,000

May 18, 2016Cyber Risks - Financial institutions concerned about cyber risks

May 17, 2016Fer de Lance Foundation - All defendants guilty

May 16, 2016Matter of Justin Maisonneuve-Strasbourg - Service of notice of presentation

May 16, 2016Illegal practice as a securities adviser - Another fine against Kader Hanahem

May 13, 2016Service of Decision by Bureau

May 12, 2016Greater efficiency and transparency of OTC derivatives market

May 11, 2016Matter of Tran et al. - Service of notice of presentation

May 11, 2016AMF creates advisory committees on derivatives and mining

May 09, 2016Mes finances en tête - AMF rolls out major financial awareness campaign

May 04, 20162016 AMF Index - Financial awareness among Quebeckers growing

April 28, 2016Canadian securities regulators seek comment on proposals to enhance the obligations of advisers, dealers and representatives toward their clients

April 25, 2016Nosfinances.com - Service of Decision by Bureau

April 22, 2016Premium rebate - Ian Roy and Stéphane Corbeil fined over $220,000

April 21, 2016Canadian securities regulators outline next steps in the implementation of enhancements for regulation of the fixed income market

April 21, 2016Canadian Securities Regulators provide guidance for making prospectus-exempt market offering and disclosure filings on SEDAR

April 20, 2016AMF Excellence Program - Three master's students receive scholarships

April 20, 2016AMF's Education and Good Governance Fund supports ten projects

April 19, 2016AMF urges caution about peer-to-peer risk sharing platforms

April 18, 2016Illegal Practices and Distributions - 3-year prison sentence and almost $1 million in fines against Robert Morin

April 15, 2016Jacques Pageau fined $5,000

April 08, 2016Illegal Practices and Distributions - $8,000 penalty against Marcel Paiement

April 08, 2016Illegal Practices and Distributions - $724,000 fine and 2-year prison term against Richard Longpré

April 07, 2016Canadian securities regulators introduce harmonized reporting for the prospectus-exempt market

April 07, 2016Canadian Securities Regulators Publish Amendments to Order Protection Rule

April 06, 2016Illegal practice and distributions - Orders and penalties against Galerie les règles de l'art and four individuals

April 06, 2016Solicitation on the Internet - Caution against solicitation by Vincenzo Pettinicchio, NPFB Europe SRL and World of Tickets inc.

April 04, 2016AMF action and interim freeze order

March 31, 2016Canadian Securities Regulators Seek Comment on Proposed Proxy Voting Protocols

March 23, 2016CSA alerts Canadians: Beware binary options platforms

March 23, 2016Allegations of illegal insider trading - AMF executes search warrants and obtains orders against 13 individuals

March 23, 2016Matter of Amaya inc. - AMF files 23 charges against three individuals and three companies

March 21, 2016Illegal practice in insurance of persons - AMF files charges against Claude Martineau and Guy Lampron

March 21, 2016Illegal Insider Trading - AMF files charges against Mathieu Tremblay in matter involving options trading

March 18, 2016lllegal solicitation of Congolese community - AMF intervenes to stop activities of Fonds d'investissement des Congolais Expatriés inc.

March 18, 2016Illegal activity as dealing representative and aiding with illegal distribution - Michel Gosselin fined $63,000

March 17, 2016Sale of insurance products on purchase of a vehicle - Assurance Accomodex inc. and Autonum Presto Locations inc. fined

March 16, 2016Numerous achievements in preventing, detecting and sanctioning offences

March 16, 2016Canadian Securities Administrators encourage investors to check before they invest

March 14, 2016Illegal Practices and Distributions - AMF files charges against promoters of two investment groups

March 10, 2016AMF selected to host 2017 Annual General Meeting of International Association of Deposit Insurers

March 04, 2016March is Fraud Prevention Month - Three steps to protect yourself from investment fraud

March 03, 2016Canadian regulators implement passport expansion and automatic cease trade orders in multiple jurisdictions

March 03, 2016Canadian Securities Regulators Release IIROC Oversight Review Report

February 26, 2016AMF takes action to stop possible funds misappropriation scheme involving Mario Langlais

February 25, 2016Canadian securities regulators adopt amendments to early warning system

February 25, 2016Canadian securities regulators adopt fundamental changes to take-over bid regime

February 24, 2016Canadian securities regulators seek comment on derivatives rule relating to mandatory central counterparty clearing

February 23, 2016Canadian securities regulators' enforcement actions instrumental in deterring financial misconduct

February 18, 2016No rewards for whistleblowers

February 17, 2016Illegal distribution - AMF files charges against Jean Mercure and Lexauris

February 16, 2016Illegal activities as a dealer and distribution without a prospectus - AMF files charges against Jacques Larré and Icare Films inc.

February 16, 2016AMF intervenes in misappropriation of funds in Saguenay

February 12, 2016Service of Decision of Bureau de décision et de révision

February 12, 2016Providing false information - Dimitrios Platanitis fined $10,000

February 09, 2016Matter of Justin Maisonneuve-Strasbourg - Service of Decision by Bureau de Décision et de Révision

February 05, 2016Illegal practice and distribution - Prison sentence and $345,000 in fines imposed on Jean-Pierre Desmarais

February 05, 2016Distribution without a prospectus - Alain Laroche and 9175-3178 Québec inc. fined $82,000

February 04, 2016AMF sues Yvan Prévost and files administrative proceeding against Marc St-Onge, Invico Investissement et Retraite inc. and Invico Financial Group Inc.

February 04, 2016Illegal Practices and Distributions - Alain André Desarzens fined over $1.5 million

February 01, 2016Illegal insider trading - Carl Larivière fined over $89,000

January 29, 2016Money-services business without a licence - Sylvain Brochu fined $6,000

January 28, 2016Orders and administrative penalties against Carlo Cioppi

January 27, 2016AMF sounds alarm on binary options

January 22, 2016Matter of Alain Péloquin - Service of notice of presentation

January 21, 2016Canadian Securities Regulators Seek Comment on Rules Protecting Customer Collateral for Cleared Derivatives

January 19, 2016In the matter of Justin Maisonneuve-Strasbourg - Service of notice of presentation

January 18, 2016Modernization of Derivatives Regulation

January 14, 2016Service of Bureau Decision

January 13, 2016Warning about solicitations by Adams & Taylor Group Ltd.

January 06, 2016Illegal practice - Paul Apostolos Sigalos fined $60,000

January 05, 2016Illegal distributions without a prospectus - Helga Leuthe fined $40,000