Dorchester Investment agrees to pay $40,000 fine
Regulator finds non-registered individuals providing account services and advice to clients
Review of all submissions will be performed by IDA staff
Registration applicants could be exempt from the 30-day or 90-day training programs if they meet certain criteria
Investment fund managers would be required to register
Function allows searches of firms and individuals
NASAA to cut system fees paid by investment advisor reps
The Alberta Securities Commission is conducting an online survey of securities dealers as part of the registration reform project.The ASC notes that it is participating in a national Canadian Securities Administrators’ initiative to harmonize and streamline the registration process. One part of this process is a proposal to require persons who trade in prospectus exempt […]
Registrant fee to rise by $50 over three years
But relief is granted provided various criteria are met