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
The list of people and companies the commission has ordered to pay monetary penalties will be updated quarterly
Halifax man promoted Sunseeker Energy shares without registration
Regulator looking for feedback from stakeholders