British Columbia Securities Commission panels have reciprocated an enforcement order against a former Investor’s Group advisor convicted by the Provincial Court of British Columbia. Under a section of the Securities Act that allows the commission to issue enforcement orders based on criminal convictions, a commission panel permanently banned Rod Woodward, who was found guilty by […]
Offering memoranda contained numerous deficiencies, BCSC says
The executive director of the British Columbia Securities Commission has issued a notice of hearing seeking reciprocal orders against Dirk Christian Lohrisch based on a July 26, 2010 decision of the Investment Industry Regulatory Organization of Canada .In the IIROC decision, the panel found that Lohrisch, a Vancouver, B.C. resident, had contravened its dealer member […]
Castiglioni lied about being a registered advisor
ASC, BCSC will work with the exchange to ensure these issues are addressed
Governance committee to review by-law amendments
With shareholder democracy coming under more scrutiny, the MFDA takes a hit on its proxy solicitation process
Badshah convicted of fraud
By-law changes passed during October 2009 special meeting must be set aside