Measure will further streamline enforcement processes
Veteran advisor Kenneth Wheelans and long-time regulator Shirley Lee to serve two-year terms
The changes will allow certain enforcement orders from other provincial regulators to apply right away in Nova Scotia
Scope of compliance examinations expanded to include exempt market issuers and derivatives market participants
Ex rep admits to diverting money from clients, making misleading statements
Firm failed to properly supervise mutual fund rep
Exemption designed to facilitate capital raising by very early-stage companies
The goal is to reduce the compliance burden for issuers while maintaining investor protection
Stratus trading without registration
Firm is unregistered, and the subject of a warning in Europe