Regulatory

OSC fines former Aston Hill CEO $125,000 for misleading statements

A former CEO has been fined $125,000 for misleading OSC staff during an insider trading investigation, an OSC hearing panel said. From 2006 to 2014, Eric Tremblay was CEO and chairman of the board of Aston Hill Financial Inc. (AHF) and the ultimate designated person of Aston Hill Asset Management Inc. (AHAMI), a subsidiary of […]

By Staff |September 4, 2018

2 min read

IIROC reports policy, enforcement progress

IIROC will continue to work with CSA on proposed targeted reforms to harmonize rules on embedded commissions and other dealer regulations, the SRO’s annual report says. IIROC released its annual report for 2017-18, highlighting the SRO’s progress in the second year of its three-year strategic plan. The plan’s goal is to better protect investors and […]

By Staff |August 29, 2018

3 min read

Alberta man charged with fraud and theft from investors

An Alberta man was criminally charged with fraud and theft related to an alleged investment fraud, the Alberta Securities Commission and Alberta RCMP said Monday. Shaun Wayne Howell, from Drayton Valley, Alta., was charged with three counts of fraud and three counts of theft over $5,000, the ASC said in a release. The regulator and […]

By Staff |August 28, 2018

1 min read

Former FAIR Canada head to chair OSC’s Investor Advisory Panel

Neil Gross will replace outgoing chair Letty Dewar

By Staff |August 24, 2018

1 min read