NBSC to take another look at personal corporations rule
Efforts to improve the province’s capital markets underway
Smith defends passport model
Harmonized regulatory framework part of passport system
The New Brunswick Securities Commission has ordered Baskin Financial Services Inc. to pay an administrative penalty of $35,000, $3,600 in past registration fees plus costs of $750 for providing investment advice and portfolio management services without being registered with the commission.The firm also agreed to immediately seek proper registration under the New Brunswick Securities Act. […]
The New Brunswick Securities Commission has approved a settlement agreement with a former broker, James Hanley, banning him for 20 years from being registered to deal or provide advice in securities, prohibiting him for 20 years from taking advantage of any exemptions provided by the Securities Act, and directing him to pay an administrative penalty […]
Moncton to play host to Fullsail Summitt
Regulators’s Fostering Capital Markets recognized as Best New Initiative
NBSC issues draft recognition order
Most don’t have a financial plan with clear investment goals