Exemption applies for one year, or until SROs’ CRM rules take effect
Smylski provided investment advice without being registered
Amendments intended to make rules clearer
Incorrect registration nets $20,000 penalty
Proposed registration requirements would include passing a qualification exam
Picking up investment commissions on the side will be harder for professionals such as accountants
The Canadian Securities Administrators has granted a series of exemptions from registration requirements introduced as part of the registration reform that was implemented last fall.CSA Staff Notice 31-315 notice summarizes the orders, which will take effect on February 26.In the notice, the CSA explains that since the registration reform came into force it has received […]
Investors encouraged to check the registration of a financial advisor or firm or
List created in response to public enquiries
Lack of registration requirement can lead to big losses on risky ventures