Constitutional law

Notice from the Office of the Secretary - Ontario Securities Commission

Friday, March 27, 2020 - 9:48pm

TORONTO, March 27, 2020 /CNW/ -The Office of the Secretary issued a Notice of Hearing on March 27, 2020 setting the matter down to be heard on April 3, 2020 at 10:00 a.m. to consider whether the Commission should grant the Application filed by Staff of the Commission to extend the temporary order issued by the Commission on March 20, 2020.

Key Points: 
  • TORONTO, March 27, 2020 /CNW/ -The Office of the Secretary issued a Notice of Hearing on March 27, 2020 setting the matter down to be heard on April 3, 2020 at 10:00 a.m. to consider whether the Commission should grant the Application filed by Staff of the Commission to extend the temporary order issued by the Commission on March 20, 2020.
  • A copy of the Notice of Hearing dated March 27, 2020 and Application dated March 25, 2020 are available at www.osc.gov.on.ca

MFDA Hearing Panel issues Reasons for Decision in the matter of William Allan

Thursday, March 26, 2020 - 9:24pm

TORONTO, March 26, 2020 /CNW/ -A Hearing Panel of the Pacific Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 26, 2020 ("Reasons for Decision") in connection with a settlement hearing held in Vancouver, British Columbiaon November 4, 2019 in the matter of William Alexander Hector Allan ("Respondent").

Key Points: 
  • TORONTO, March 26, 2020 /CNW/ -A Hearing Panel of the Pacific Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 26, 2020 ("Reasons for Decision") in connection with a settlement hearing held in Vancouver, British Columbiaon November 4, 2019 in the matter of William Alexander Hector Allan ("Respondent").
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • A copy of the Reasons for Decision is available on the MFDA website at www.mfda.ca .
  • During the period described in the Reasons for Decision, the Respondent carried on business in the Nanaimo, British Columbia area.

Trevali Issues Statement on Government Declaration of National Emergency in Peru; Santander Mine Continues to Operate

Wednesday, March 18, 2020 - 3:00am

The declaration restricts travel within the country and requires citizens to remain at home except to travel to grocery stores, banks and medical facilities.

Key Points: 
  • The declaration restricts travel within the country and requires citizens to remain at home except to travel to grocery stores, banks and medical facilities.
  • The state of emergency took effect today and will last for the next 15 days.
  • Mining projects and operations that have a remote workforce that is housed by a camp are permitted continue to operate as usual during the 15-day period.
  • Trevali provides no assurance that forward-looking statements will prove to be accurate, as actual results and future events may differ from those anticipated in such statements.

Notice from the Office of the Secretary - Ontario Securities Commission

Thursday, March 5, 2020 - 9:26pm

IN THE MATTER OF ISSAM EL-BOUJI, File No.

Key Points: 
  • IN THE MATTER OF ISSAM EL-BOUJI, File No.
  • 2018-28
    TORONTO, March 5, 2020 /CNW/ - The Office of the Secretary issued a Notice of Hearing for a hearing to consider whether it is in the public interest to approve a settlement agreement entered into by Staff of the Commission and Issam El-Bouji in the above named matter.
  • The hearing will be held on March 10, 2020 at 10:00 a.m. on the 17th floor of the Commission's offices located at 20 Queen Street West, Toronto.
  • A copy of the Notice of Hearing dated March 5, 2020 is available at www.osc.gov.on.ca .

Notice from the Office of the Secretary - Ontario Securities Commission

Thursday, March 5, 2020 - 9:21pm

IN THE MATTER OF GLOBAL RESP CORPORATION AND GLOBAL GROWTH ASSETS INC., File No.

Key Points: 
  • IN THE MATTER OF GLOBAL RESP CORPORATION AND GLOBAL GROWTH ASSETS INC., File No.
  • 2020-7
    TORONTO, March 5, 2020 /CNW/ - The Office of the Secretary issued a Notice of Hearing for a hearing to consider whether it is in the public interest to approve a settlement agreement entered into by Staff of the Commission and Global RESP Corporation and Global Growth Assets Inc. in the above named matter.
  • The hearing will be held on March 10, 2020 at 10:00 a.m. on the 17th floor of the Commission's offices located at 20 Queen Street West, Toronto.
  • A copy of the Notice of Hearing dated March 5, 2020 and the Statement of Allegations dated March 4, 2020 are available at www.osc.gov.on.ca

MFDA Hearing Panel approves settlement agreement with Lawrence Geisel

Tuesday, March 3, 2020 - 8:58pm

TORONTO, March 3, 2020 /CNW/ - A settlement hearing in the matter of Lawrence Edward Geisel ("Respondent") was held today in Saskatoon, Saskatchewan before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").

Key Points: 
  • TORONTO, March 3, 2020 /CNW/ - A settlement hearing in the matter of Lawrence Edward Geisel ("Respondent") was held today in Saskatoon, Saskatchewan before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • The Hearing Panel approved the settlement agreement dated December 17, 2019 ("Settlement Agreement") between Staff of the MFDA and the Respondent, as a consequence of which the following sanctions were imposed on the Respondent:
    a fine in the amount of $11,500;
    costs in the amount of $2,500; and
    shall in the future comply with MFDA Rule 2.1.1.
  • In the Settlement Agreement, the Respondent admitted that between September 2017 and May2018, he obtained, possessed, and used to process transactions, 44 pre-signed account forms in respect of 14 clients, contrary to MFDA Rule 2.1.1.
  • A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .

MFDA Hearing Panel issues Decision and Reasons (Misconduct) in the matter of Peter Varteresian

Friday, February 28, 2020 - 8:58pm

TORONTO, Feb. 28, 2020 /CNW/ - A Hearing Panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Decision and Reasons (Misconduct) dated February 27, 2020 ("Decision and Reasons") in connection with a disciplinary hearing held in Halifax, Nova Scotia on November 20-21, 2019 in the matter of Peter Anthony Varteresian ("Respondent").

Key Points: 
  • TORONTO, Feb. 28, 2020 /CNW/ - A Hearing Panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Decision and Reasons (Misconduct) dated February 27, 2020 ("Decision and Reasons") in connection with a disciplinary hearing held in Halifax, Nova Scotia on November 20-21, 2019 in the matter of Peter Anthony Varteresian ("Respondent").
  • In its Decision and Reasons, the Hearing Panel outlined its finding of misconduct made against the Respondent.
  • Submissions with respect to sanctions will take place before the Hearing Panel on a date to be determined and announced accordingly.
  • A copy of the Decision and Reasons (Misconduct) is available on the MFDA website at www.mfda.ca .

MFDA issues Notice of Settlement Hearing in respect of Robert Berget

Friday, February 28, 2020 - 8:53pm

TORONTO, Feb. 28, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") announced that it has issued a Notice of Settlement Hearing dated February 5, 2020 ("Notice of Settlement Hearing") regarding the presentation, review and consideration of a proposed settlement agreement by a Hearing Panel of the MFDA's Pacific Regional Council.

Key Points: 
  • TORONTO, Feb. 28, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") announced that it has issued a Notice of Settlement Hearing dated February 5, 2020 ("Notice of Settlement Hearing") regarding the presentation, review and consideration of a proposed settlement agreement by a Hearing Panel of the MFDA's Pacific Regional Council.
  • The settlement agreement will be between Staff of the MFDA and Robert Allan Berget("Respondent") and involves matters for which the Respondent may be disciplined by a Hearing Panel pursuant to MFDA By-laws.
  • MFDA settlement hearings are typically held in the absence of the public pursuant to section 20.5 of MFDA By-law No.
  • A copy of the Notice of Settlement Hearing is available on the MFDA website at www.mfda.ca .

MFDA Hearing Panel issues Reasons for Decision (Misconduct) in the matter of John Elwood

Tuesday, February 25, 2020 - 8:30pm

In its Reasons for Decision, the Hearing Panel outlined its findings of misconduct made against the Respondent.

Key Points: 
  • In its Reasons for Decision, the Hearing Panel outlined its findings of misconduct made against the Respondent.
  • Submissions with respect to sanctions will take place before the Hearing Panel on a date to be determined and announced accordingly.
  • A copy of the Reasons for Decision (Misconduct) is available on the MFDA website at www.mfda.ca .
  • During the period described in the Reasons for Decision, the Respondent conducted business from a branch office located in the Toronto area.

MFDA issues Notice of Settlement Hearing in respect of Cho-Tak "Albert" Lok

Thursday, February 13, 2020 - 11:41pm

The settlement agreement will be between Staff of the MFDA and Cho-Tak "Albert" Lok ("Respondent") and involves matters for which the Respondent may be disciplined by a Hearing Panel pursuant to MFDA By-laws.

Key Points: 
  • The settlement agreement will be between Staff of the MFDA and Cho-Tak "Albert" Lok ("Respondent") and involves matters for which the Respondent may be disciplined by a Hearing Panel pursuant to MFDA By-laws.
  • MFDA settlement hearings are typically held in the absence of the public pursuant to section 20.5 of MFDA By-law No.
  • A copy of the Notice of Settlement Hearing is available on the MFDA website at www.mfda.ca .
  • During the period described in the Notice of Settlement Hearing, the Respondent carried on business in the Toronto, Ontario, area.