The list contains the names of individuals and companies disciplined by the following agencies:

IIROC welcomes the Canadian Securities Administrators’ plans to review Canada’s regulatory framework for investment industry self-regulatory organizations (SROs) Part Title . The subjects of these alerts are persons or companies who appear to be engaging in securities activities that may pose a risk to investors. - Repeatedly purchasing securities with cash, cheques, third party instruments in amounts just under $10,000 - Requests certificates registered to third parties - Pays for securities with bank account of third party - Proceeds wire-transferred to foreign bank or third party The Ontario Securities Commission administers and enforces securities law in the province of Ontario. 1 This article is an overview of key Canadian public disclosure considerations.

canadian securities administrators . Led primarily by securities regulators, the campaign is an ongoing, grassroots effort to educate individuals about saving, investing, and avoiding financial fraud. Part 3 Information Reporting Requirements trade in portfolio securities with other mutual funds managed by the Manager or any of its affiliates (“inter-fund transfers”).

requirements . If the Approved Person or Dealer Member does not voluntarily agree to the terms of the MCP Notice, Staff may commence a disciplinary proceeding against the recipient of the MCP Notice. About the British Columbia Securities Commission (www.bcsc.bc.ca)
The AGM is a 50:50 joint venture ("JV") with Gold Fields Ltd (JSE, NYSE: GFI), which is managed and operated by Galiano. Canadian Securities Administrators . Strengthening cyber systems . Canadian Securities Regulators Publish Additional Guidance For Entities Facilitating The Trading of Crypto Assets.

Increased capacity to assist Canadian political parties and elections administrators.

The compromise of cyber systems used by political parties, or the cyber systems that support the work of elections administrators, has the risk of disrupting or undermining public confidence in electoral processes. The Disciplined List is intended to assist the public and the securities industry in conducting due diligence. Companion Policy 24-101CP .

national instrument 24-101 .

part 1 definitions and interpretation . The Canadian Securities Administrators (CSA) recently announced amendments to the exempt distribution trade report requirements that are expected to …

Canadian Securities Administrators 2010 Enforcement Report 7 Penalties The sanctions imposed for securities law violations or conduct that is contrary to the public interest range from bans on future activity, such as trading in securities or acting as a director or officer of a public company, to financial penalties and jail terms. Canadian Securities Administrators 2009 Enforcement Report 6 Penalties The sanctions imposed for securities law violations or conduct that is contrary to the public interest range from bans on future activity, such as trading securities or acting as a director or officer of a public company, to financial penalties and jail terms. Canadian Securities Regulators Publish Additional Guidance for Token Offerings Melanie Clay June 12, 2018 The Canadian Securities Administrators (CSA) issued a staff notice giving additional guidance on the application of securities laws to initial coin offerings (ICOs) and related tokens.


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