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The Canadian Securities Transition Office (French: Bureau de transition canadien en valeurs mobilières) is a federal organization that was created to assist in the establishment of a Canadian securities regulation regime and a Canadian regulatory authority. [21]
Bertram Earl Jones (born June 24, 1942) is a Canadian unlicensed investment adviser who pleaded guilty to running a Ponzi scheme that CBC News has reported cost his victims "a conservative estimate of about $51.3 million taken between 1982 and 2009". [1] After pleading guilty to two charges of fraud in 2010, he was sentenced to 11 years in ...
The Bre-X mining fraud convinced Canadians to regulate professional geology in Canada. [24] The Securities regulation National Instrument 43-101 was created in the wake of the Bre-X fraud to protect investors from unsubstantiated mineral project disclosures. [25]
A self-proclaimed Canadian "Crypto King" and an associate who received more than C$40 million ($29.4 million) from investors have been arrested and charged with fraud, police said on Wednesday.
The CSA (Canadian Securities Administrators) investigated IIROC for the loss of personal financial data of thousands of brokerage clients after IIROC announced that it lost a mobile device containing the information. The device had not been encrypted, which is in violation of IIROC policy.
Just when the Chinese solar industry is starting to gain some traction the scandals that crushed investor confidence in Chinese stocks are back again. An SEC charge of securities violations ...
It was reported that Lacroix filed up to 115 false reports with securities regulators. [4] [7] Each charge had a maximum penalty of five years in jail and a fine of up to C$5 million. In October 2005, the AMF also sued Lacroix for C$94 million and an investigation was also launched by the Royal Canadian Mounted Police (RCMP). [8]
Canadian Investment Regulatory Organization; L’Organisme canadien de réglementation des investissements: Abbreviation: CIRO/OCRI: Formation: 2023: Type: Organizations based in Canada: Legal status: active: Purpose: Monitors members for securities law compliance; enforces securities regulations through quasi-judicial proceedings: Headquarters