Teachers official's job safe

Article Abstract:

Ronald Mock, the former chief executive officer at Phoenix Research and Trading Corp. has been barred from securities trading for five years by the Ontario Securities Commission. Mr. Mock, who had managed $200 million in assets at Phoenix, played a key role in the collapse of the hedge fund.

Hedge funds, Mock, Ronald

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Securities review reveals discontent

Article Abstract:

The Canadian government is studying plans to reform the regulatory regime of the securities industry. The committee that is studying the issue, which is focusing on a plan to create a single body to regulate the securities industry, has found the existing regime is fraught with problems.

Government regulation (cont), Government regulation, Laws, regulations and rules, Canada. Finance Canada

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OSC asks for ban on ex-trader with Phoenix

Article Abstract:

The Ontario Securities Commission looks to get former Phoenix Research & Trading Corp., Stephen Duthie banned from trading for 20 years.

Duthie, Stephen

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