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Investment dealer fined by British Columbia regulator

Close to $1-million lost when firm inadvertently violated freeze order.

SOCIETY | January 24 2023 03:46PM
British Columbia regulator levies $200,000 fine for insider trading

Firm ultimately sold private placement shares for a notable loss.

INVESTMENT | January 16 2023 04:52PM
Securities regulators publish summary of investor education initiatives

Extensive annual report details national, provincial and territorial efforts.

SOCIETY | November 01 2022 10:49AM
British Columbia Securities Commission reprimands Bank of Montreal

No financial penalties handed down in case where 50-year employee, now retired, facilitated the illegitimate transfer of…

INVESTMENT | July 21 2022 03:18PM
Chief investment officer ordered to pay $30,000 for unregistered activities

Senior executive sanctioned for advising in securities without being registered.

INVESTMENT | July 08 2022 02:48PM
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$210,000 in penalties levied against former fund manager and directors

The BCSC says an investment firm failed to meet the standard of care for an investment manager when it loaned a large pr…

SOCIETY | March 09 2022 04:37PM
Regulator fines pair $400,000 for concealing losses and making misleading statements

Top two men in Arian Resources understated cost of compensation by hundreds of thousands of dollars.

SOCIETY | February 24 2022 10:22AM