Matter of Tran et al. - Service of decision by the Tribunal administratif des marchés financiers

Decisions and Freeze and cease trade orders Securities

Montréal – The publication of this press release constitutes the method of service authorized by the Tribunal administratif des marchés financiers (the “Tribunal”) of a decision issued on December 16, 2016 related to the matter of David Tran et al. in respect of David Tran and Logiciels HTF Quants inc.

See Decision 2015-014-009 (pdf - 326 KB)This link will open in a new windowUpdated on December 16, 2016 (in French only).

On December 16, 2016, at the request of the Autorité des marchés financiers (the “AMF”), the Tribunal extended for a further 120-day period certain freeze orders initially issued on May 28, 2015 in the matter of David Tran et al. The extended orders were issued against David Tran, Logiciels HTF Quants inc., Caisse Desjardins de Lévis as well as any person or entity who will be served the decision and who holds funds, securities or other assets belonging to David Tran or Logiciels HTF Quants inc.

The Tribunal also partially lifted the cease trade order in respect of respondent Jacques Paquin for the sole purpose of allowing him to trade securities for his own account, on the condition that the trades are processed by a dealer duly registered with the AMF and that the amounts involved are not the result of trading in violation of the Securities Act.

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

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