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Client Work

Ontario Securities Commission in regulatory proceeding involving Phoenix Research and Trading Corporation

Fasken
Reading Time 1 minute read
Client

Ontario Securities Commission

Tracy Pratt acted as staff of the OSC in reaching settlements with Phoenix Research and Trading Corporation and its principals. The OSC, after a hearing, ordered that, among other things, the fixed income arbitrage trader with Phoenix was prohibited from trading in any securities and becoming or acting as a director or officer of any issuer for 20 years.