While Ontario contemplates whether to expand prospectus exemptions, British Columbia is proposing to scrap one of its more contentious exempt- market provisions. The B.C. Securities Commission is proposing to revoke its so-called “Northwest” exemption, which allows firms to trade in the exempt market without registering. The controversial exemption was adopted by a handful of regulators […]
JV Raleigh directors banned, fined for selling securities without being registered
Lack of compliance leads regulator to propose scraping of EMD registration exemption
Ho, Downes and Glover join board
Berkeley Coffee investors not eligible for exemption, regulator says
Prospectus filed with SEC did not meet requirements of BCSC
Criminal enforcement gathering momentum with the goal of sending a strong deterrence message
Be Fraud Aware mobile app helps spot and report fruad
It may seem somewhat ironic, but the global financial crisis of 2008 is, in some cases, boosting the fortunes of the con artists and fraudsters who have always preyed on less sophisticated investors. And despite repeated warnings from regulators and the financial services industry itself, many Canadians who are receiving lower returns on their investments […]
Promotions promised returns ranging from 12% to 100%