Dealer used non-registered salespersons
Two new features to be added to National Registration Database
The Ontario Securities Commission found that four men violated securities laws by selling shares in Andromeda Media Capital Corp. with out being registered.In a decision handed down October 12, the OSC found that Joseph Allen and his employees Abel da Silva, Chateram Ramdhani and Syed Kabir undertook a sales program for the shares in Andromeda […]
NBSC following similar action by Quebec’s AMF
Securities firm fined $550,000 for trading without being registered
Comments due by November 10
Toronto firm admits to advising clients in B.C. without being registered
RRP aims to reduce regulatory burden
Firms and individuals can now register with just one regulator
Waiver letter discontinued