Securities

Firms settle with SEC over undisclosed mutual fund trailer fees Fallback Image Decorative pattern

Industry

Firms settle with SEC over undisclosed mutual fund trailer fees

Almost 80 firms admitted to violating securities rules

By Staff |March 11, 2019

2 min read

Matchpoint acquires controlling interest in Omega ATS Fallback Image Decorative pattern

Industry

Matchpoint acquires controlling interest in Omega ATS

Omega operates two alternative trading system marketplaces

By Staff |February 5, 2019

1 min read

One-quarter of British Columbians vulnerable to investment fraud Fallback Image Decorative pattern

Industry

One-quarter of British Columbians vulnerable to investment fraud

The poll asked British Columbians about their reactions to an investment offer that claimed "guaranteed" returns of 14% to 25% and "no risk."

By Staff |March 6, 2018

2 min read

ASC orders $345,200 in sanctions for former registrant Fallback Image Decorative pattern

Industry

ASC orders $345,200 in sanctions for former registrant

An Alberta Securities Commission (ASC) panel has sanctioned a former exempt market dealer for fraud. The regulator ordered Jason Michael Currey to pay a $200,000 administrative penalty and $25,000 in costs of the investigation and hearing, and to remit more than $120,000 in misappropriated funds. Currey, along with the Healthy Retirement Group Inc. (HRG), Sunset […]

By Staff |March 5, 2018

2 min read