The commission expects to collect $97.4 million in participation fees in fiscal 2016
Convicted fraudster is not registered to solicit invesments
Issuers called on to disclose financial performance in ways that are transparent and useful to investors.
Proposals would enhance regulators’ ability to analyze documents while reducing administrative burden
The goal is help firms and advisors gain a better understanding of their clients
Bank-style regulations would have negative consequences on the market competitiveness and profitability of large asset management firms
The B.C. regulator found that the four respondents perpetrated a fraud
More than 80% of angel-funded startups fall into two sectors: information technology and life sciences
The settlement stems from allegations of internal control failures at the firm
The review will examine firms’ systems and policies to ensure that trade data is being reported accurately and on time