Regulator says it is satisfied with compliance
Panel considering sanctions
Continuous disclosure and proxy solicitation requirements for investment funds to remain unchanged
Revenues cut by deferred fee increase
Oxford Investments slapped with cease trade order for alleged misuse of exemption
No longer have to file monthly financials with ASC
Five-year term began in May 2000
Alleges Seto traded in securities of Genoray
Industry players consulted by the Alberta Securities Commission believe the Fair Dealing Model (FDM) proposed by the Ontario Securities Commission is unworkable and unjustified.In a letter sent to John Stevenson, OSC secretary, on September 16, Stephen Sibold, ASC chairman says the FDM could result in a loss of service for small retail investors, but could […]
New powers support continuous disclosure regime