Two men fined and ordered to resign positions following market manipulation scheme

Market manipulation scheme leads to heavy fines.

INVESTMENT | August 19 2021 01:55PM
Securities regulator imposes heavy fine

The sanctioned individual will also be subject to an array of market access bans for five years.

INVESTMENT | May 18 2021 10:20AM
Two regulators adopt self-certified investor prospectus exemption

The exemption aims to provide greater access to capital for businesses and broaden investment opportunities for investor…

INVESTMENT | April 01 2021 12:10PM
ASC partially overturns IIROC decision and reduces penalty

The Alberta Securities Commission is allowing an advisor to appeal a disciplinary decision made against him by IIROC.

INVESTMENT | October 21 2020 03:04PM
OSC announces virtual conference lineup

The next Ontario Securities Commission (OSC) conference, online November 4, features a long list of notable names from t…

INVESTMENT | August 26 2020 02:00PM
Albertans struggle to identify red flags of fraud

A study conducted by the Alberta Securities Commission has found that three-quarters of Albertans are confident they can…

SOCIETY | March 09 2020 11:59AM
ASC sanctions offshore firm for unregistered trading

The Alberta Securities Commission announced Jan. 20 that it has accepted a settlement agreement between the ASC and Brit…

INVESTMENT | January 20 2020 04:00PM