Securities

Montréal – The Autorité des marchés financiers (AMF) recently filed two requests with the Bureau de décision et de révision en valeurs mobilières (BDRVM) to impose administrative penalties totalling $12,598.77 on Dundee Securities Corporation and MF Global Canada Co.

The AMF requested that the BDRVM impose administrative penalties of $5,917.77 on Dundee Corporation for:

  • failing to furnish to the AMF, within 90 days after the end of its 2005 and 2006 financial years, the financial statements, auditor's report and any other information, in accordance with the requirements prescribed by regulation, pursuant to section 158 of the Securities Act;
  • failing to pay to the AMF, within the prescribed time, the annual fees required for the 2005 and 2006 financial years, pursuant to section 271.5 of the Securities Regulation.

With respect to MF Global Canada Co., the AMF is seeking administrative penalties of $6,681 for:

  • failing to furnish to the AMF, within 90 days after the end of its 2006 and 2007 financial years, the financial statements, auditor's report and any other information, in accordance with the requirements prescribed by regulation, pursuant to section 158 of the Securities Act;
  • failing to pay to the AMF, within the prescribed time, the annual fees required for the 2006 and 2007 financial years, pursuant to section 271.5 of the Securities Regulation.

The Autorité des marchés financiers (AMF) is the regulatory and oversight body for Québec’s financial sector.

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