Canadian Securities Administrators released their fifth report of enforcement activities

CSA Securities

Montréal - The Canadian Securities Administrators (CSA) released their fifth report on enforcement activities today. Between April 1, 2006 and September 30, 2006, the regulators pursued 57 new enforcement matters. They also concluded 59 cases that resulted in sanctioning orders or settlements that often included several persons or companies. During the same period, self-regulatory organizations concluded 13 settlement agreements, and ordered sanctions in 17 cases, including one expulsion.

Jean St-Gelais, CSA Chair, said that “this report allows for greater transparency of the measures taken by the Canadian securities regulatory authorities and confirms their active participation in the application of the law.”

The report can be found on the CSA website, at, and on many provincial regulators’ websites.

The CSA, the council of securities regulators of Canada’s provinces and territories, coordinate and harmonize regulation for the Canadian capital markets. Their mandate is to protect investors from unfair or fraudulent practices through regulation of the securities industry. Part of this protection is educating investors about the risk, responsibilities and rewards of investing.

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For media inquiries:

Provincial and Territorial Securities Regulators

CSA member name

Point of contact

Phone number


Autorité des marchés financiers

Frédéric Alberro


[email protected]

Alberta Securities Commission

Tamera Van Brunt


[email protected]

British Columbia Securities Commission

Andrew Poon


[email protected]

Department of Attorney General, Prince Edward Island

Mark Gallant


[email protected]

Financial Services Regulation Division, Newfoundland and Labrador

Doug Connolly


[email protected]

Manitoba Securities Commission

Ainsley Cunningham


[email protected]

New Brunswick Securities Commission

Rick Hancox


[email protected]

Nova Scotia Securities Commission

Chris Pottie


[email protected]

Nunavut Securities Registry

Jennifer MacIsaac


[email protected]

Ontario Securities Commission

Wendy Dey

416-593-8120 This link will open in a new window, (Web site address)

Saskatchewan Financial Services Commission


-- This link will open in a new window, (Web site address)

Securities Registry Northwest Territories

Donald MacDougall


[email protected]

Yukon Securities Registry

Bette Boyd


[email protected]