OSC explains Yorkton disclosure

Article Abstract:

Yorktown Securities Inc. has revealed that it is under investigation by the Ontario Securities Commission at the insistence of the agency. Yorkton's dealings with Engineering.com Inc. are similar to those with other unnamed firms that have been targeted in an investigation into possible conflicts of interest at the brokerage firm.

Securities Brokerage, Laws, regulations and rules, Stockbrokers, Yorkton Securities Inc.

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The Royal Bank Tapes

Article Abstract:

The Toronto Stock Exchange and the Ontario. Securities Commission are investigating Montreal, Que.-based Royal Bank of Canada's RT Capital Management Inc. The investigation includes taped conversations of RT brokers discussing price stock manipulation during 1998 and 1999.

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The Royal Bank Probe

Article Abstract:

The Toronto Stock Exchange and the Ontario Securities Commission are investigating Montreal, Que.-based Royal Bank of Canada's RT Capital Management Inc. and other stock brokers. The banking giant is seeking a settlement with the OSC in the stock price manipulation case.

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