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
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
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