OSC keeps an eye on Phoenix; Duthie says firm knew of trades
Article Abstract:
Ontario Securities Commission puts trading limits on Phoenix Research and Trading Corp. Phoenix Research, which has reported huge losses for its fixed-income arbitrage fund, was hurt by the trading activities of bond trader Stephen Duthie.
Publisher: Bell Globemedia Interactive
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2000
Government regulation (cont), Sales, profits & dividends, Investment Companies, Open-End Investment Funds, Finance, Ontario. Securities Commission, Phoenix Research
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2000
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Approval on way for dealers group
Article Abstract:
The Mutual Fund Dealers Association of Canada (MFDA), the self-regulatory organization established to police mutual fund sales people, will become officially recognized by major provincial securities commissions in the next few weeks.
Publisher: Bell Globemedia Interactive
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2001
Legal issues & crime, Mutual Fund Mgmt Companies, Portfolio Management, Mutual funds, Mutual fund industry, Mutual Fund Dealers Association of Canada
Publication Name: Globe & Mail (Toronto, Canada)
Subject: News, opinion and commentary
ISSN: 0319-0714
Year: 2001
User Contributions:
Comment about this article or add new information about this topic:
Subjects list: Canada, Laws, regulations and rules
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