Company: British Columbia Securities Commission

545 results found
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Fund dealers were advised to examine their client reports for unusual or incorrect information

suspicious client

The regulator says it will contact clients directly as part of compliance reviews

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Deal includes $2.4 million and cooperation with ongoing litigation

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Appeal court rules that regulator was right to allow orders issued in investigation

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Nevada Supreme Court upholds lower court ruling, allowing BCSC to enforce hearing panel decision

gavel

Scheme uncovered by BCSC investigation ends in conviction, prison sentence

gavel

A hearing panel rejects bid to lift order against registered accounts

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Evidence released by the regulator is being used in a potential class action

a serious business man thinking about serious problems

A regulatory panel at IFIC's leadership conference discussed Covid-19's challenges

gavel

Penalties and market bans handed down in $5 million fraud