Ontario Securities Commission

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  SEC Enforcement Roundup: Sister Charged With Illegally Tipping Off Brother

  By Marlene Y. Satter, AdvisorOne  |  April 18, 2013

  Among recent enforcement actions taken by the SEC were charges against a woman for illegally tipping her brother about quarterly earnings data from the firm she worked for.

• OSC Chair: Hedge Funds Need No Special Regime

  By Staff Writer  |  March 6, 2006

  TORONTO (HedgeWorld.com)--In his keynote address for the Canadian Securities Administrators' "superconference," the chairman of the Ontario Securities Commission said that there was no need for...

• Provincial Court Releases Some Hardship Funds in Portus Affair

  By Staff Writer  |  May 9, 2005

  TORONTO (HedgeWorld.com)--An Ontario court ordered the creation of a hardship committee for investors in the Portus hedge fund group, and called for the examination of one of the group's key salesman, as the firm's tangled affairs still have investigators shaking their heads. In an order April 27, Judge C.L. Campbell...

• Ontario Exemption for Morgan Stanley, Traxis

  By Staff Writer  |  August 16, 2004

  TORONTO (HedgeWorld.com)--The Ontario Securities Commission granted an application by four alternative investment funds associated with Morgan Stanley, for relief from registration requirements relating to trade in commodity futures and options on securities that will be offered primarily outside of Canada but that will be distributed in Ontario through an Ontario-registered...

• OSC Reprimands, Fines Stephen Duthie

  By Staff Writer  |  June 9, 2003

  TORONTO (HedgeWorld.com)--The Ontario Securities Commission found that Stephen Duthie wrongly engaged in activities for which he was not registered and otherwise engaged in unfair and...

• Duthie At OSC Hearing: Guidelines Were Not Restric

  By Staff Writer  |  May 5, 2003

  TORONTO (HedgeWorld.com)--The staff of the Ontario Securities Commission presented its case against Stephen Duthie, in connection with the trades that led to the demise of...

• Phoenix: Settlements Out of Way, Fireworks Approac

  By Staff Writer  |  April 21, 2003

  TORONTO (HedgeWorld.com)--After years of settling what can be settled, the Ontario Securities Commission has narrowed down the questions arising from the demise of Phoenix Fixed...

• Canadian Failure-to-Supervise Case is Settled

  By Staff Writer  |  July 1, 2002

  TORONTO (HedgeWorld.com)--The Ontario Securities Commission approved a settlement June 17 of its staff's failure-to-supervise allegations against hedge fund manager Mark Kassirer, formerly chairman of Phoenix...