Search for: "Complaint of Amf"
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6 Jul 2012, 12:23 pm
Firms registered or otherwise licensed by the AMF in Québec, including as securities dealers or advisers, must file their semi-annual report of client complaints on the AMF’s Complaint Reporting System (CRS) by July 30 covering the period of January 1 to June 30. [read post]
24 Jan 2023, 5:10 am
The AMF recommends that registered DASPs set up such a complaints handling system. [read post]
21 Sep 2022, 2:04 am
The working group has been established in light of PEA-related complaints doubling last year and becoming the leading reason for referrals to the AMF Ombudsman in 2021. [read post]
31 Aug 2012, 8:08 am
Background The facts in this matter are rather complicated, but for present purposes, may be summarized as follows: Sovereign delivers insurance policies in Quebec through Flanders Insurance Management and Administrative Services Limited (“Flanders”) an insurance broker that does not have a licence issued by the AMF; After having investigated a complaint made by Flanders’ competitor, the AMF determined that Flanders needed a licence to sell… [read post]
25 Jan 2012, 7:55 am
Alix d’Anglejan-Chatillon Québec’s financial services regulator, the Autorité des marchés financiers (AMF), has issued a reminder that firms registered or otherwise licensed by the AMF in Québec, including as securities dealers or advisers, must file their semi-annual report of client complaints on the AMF’s Complaint Reporting System (CRS) by January 30 covering the period of July 1 to December 31. [read post]
18 Feb 2014, 5:22 pm
Marco Franchetti was appointed in July 2013 to serve as the an independent mediator for complaints against banks based in Switzerland. [read post]
11 Jul 2012, 11:42 am
On March 12, 2008, the Respondent received a penal complaint from the AMF pursuant to section 195(4) of the QSA for refusal to testify. [read post]
29 Oct 2018, 12:00 am
Despite prior warnings, the FSMA continued to receive fraud complaints from consumers lured into the cryptocurrency craze. [read post]
6 Aug 2009, 12:00 pm
The AMF previously published a Policy Statement Respecting Accredited Counterparties. [read post]
16 Sep 2019, 3:54 pm
., 347 NLRB 1364 (2006) and AMF Trucking & Warehousing, 342 NLRB 1125 (2004) (finding that the employer did not assert an inability to pay where it pointed to significant economic pressure but never asserted that the survival of the company was at stake). [read post]
4 Dec 2017, 7:18 am
According to the SEC complaint, the ICO of PlexCoin was an offering of securities. [read post]
2 Jun 2014, 7:17 pm
See AMF Inc. v. [read post]
4 Nov 2018, 6:10 pm
The AMF requested the records as part of its investigation into findings of insider trading against Foster. [read post]
25 Mar 2011, 1:23 pm
According to the Complaint, in January 2011, Amazon began soliciting software developers to participate in a future mobile software download service offered by Amazon. [read post]
17 Aug 2009, 3:00 pm
These include requirements with respect to financial reporting, know-your-client, suitability, client disclosure, safekeeping of assets, recordkeeping, account activity reporting, complaint handling and other compliance procedures. [read post]
16 Nov 2017, 11:47 am
Under the Ninth Circuit’s ruling in AMF Incorporated v. [read post]
30 Jul 2010, 9:51 am
Using a trademark in a domain name might draw complaints from the trademark owner. [read post]
18 Jul 2014, 10:25 am
” Trademark Infringement In determining whether JWE’s mark infringes any of the University’s marks, the court will follow the multifactor test established by AMF Inc. v. [read post]
11 Sep 2017, 9:18 am
AMF Bowling Prods., Inc. [read post]
6 Dec 2023, 2:35 am
., that employees know where to make complaints of discrimination or harassment), and that they conduct equal opportunities training on their respective grounds. [read post]
