Conflicts of interest highlighted in British Columbia compliance review

Top conflicts related to referral arrangements, compensation practices and gifting.

INVESTMENT | May 30 2023 10:47AM
British Columbia regulator to issue penalties without hearings

New authority granted in 2020 amendment to province’s Securities Act.

SOCIETY | May 02 2023 10:53AM
British Columbia joins other jurisdictions in banning W.H. Stuart principal

Marilyn Stuart permanently banned from any trading or acting as an officer or director.

INVESTMENT | April 14 2023 10:17AM
Investors harmed by former insurance broker able to claim some restitution

Claimants defrauded by Paul Se Hui Oei must apply no later than August 11, 2023.

INVESTMENT | April 06 2023 10:44AM
Court says advisor who coached investor to lie didn’t obstruct justice

Dissenting justice says irrational interpretation could lead to absurd consequences.

SOCIETY | March 09 2023 10:47AM
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