AMF

Industry

OSC, AMF participating in World Investor Week

Third annual campaign launches in September

By Staff |August 14, 2019

1 min read

Industry

Oversight of OTC derivatives market hampered by poor data: CSA

Compliance reviews uncover deficiencies in data reporting

By Staff |June 6, 2019

2 min read

Industry

Provincial regulators sign agreement with U.K.’s FCA

Deal aims for cooperation between ‘regulatory sandbox’ initiatives

By Staff |April 18, 2019

1 min read

Industry

SEC cyber unit files charges over Quebec PlexCoin securities

The SEC says in a release that it has obtained an emergency asset freeze to halt an initial coin offering fraud that raised up to US$15 million from thousands of investors since August. The offering falsely promised a 1,354% profit, says the SEC. The commission has filed charges against “a recidivist Quebec securities law violator,” […]

By Staff |December 4, 2017

2 min read

Industry

How an advisor allegedly defrauded Empire Life for 15 years

Conseiller.ca has discovered Thibault allegedly defrauded Empire Life from 1986 to 2001, but has never faced criminal charges.

By Suzanne Dansereau, Conseiller.ca |November 11, 2016

1 min read

Industry

How one top producer got away with bad behaviour

Jacques-André Thibault was banned from the Quebec securities industry for 11 years in 2014, based on 11 offenses committed against three clients. Now, Conseiller.ca has discovered that three other clients complained about Thibault for insurance policies bought between 2004 and 2008. Jacques Duval, a well-known automotive columnist, complained in January 2008 to AIG Life of […]

By Conseiller.ca Staff |November 2, 2016

1 min read

Industry

AMF imposed almost $9 million in penalties last year

The Autorité des marchés financiers (AMF) has released its 2014 enforcement report. A total of 64 individuals and 38 firms were sanctioned for various offences, and $8,708,753 in fines, penalties and sanctions were imposed further to AMF intervention.

By Staff |June 4, 2015

1 min read

Industry

Amaya underwriters paid unusually high premium

Gaming company Amaya got a plum deal from its underwriters when it bought online gambling company Oldford Group, says one securities lawyer.

By Melissa Shin |December 12, 2014

5 min read

Industry

RCMP, AMF raid Amaya, Canaccord Genuity, Manulife

Forbes is reporting that the Royal Canadian Mounted Police and Autorité des Marchés Financiers have raided the Montreal offices of Manulife Financial, Canaccord Genuity and Amaya Gaming Group Inc.

By Melissa Shin |December 11, 2014

2 min read

Industry

Advisors must answer all the AMF’s questions: ruling

If the Autorité des marchés financiers investigates you or your practice, you're obliged to answer all its questions.

By Staff |January 25, 2013

1 min read

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