The British Columbia Securities Commission has disciplined a Toronto-based investment management firm for breaching the provinces’s registration requirements.
Martin, Lucas & Seagram Ltd., an investment counsel and portfolio manager headquartered in Toronto, has reached a settlement with the BCSC after it admitted to advising as many as nine B.C. clients over a period spanning almost 45 years without being registered to do so in B.C.
Under the settlement, the firm must pay $135,695 to the BCSC, a sum that includes registration fees that it would have had to pay to properly operate in B.C.
On March 24, the firm registered under the as a portfolio manager and investment counsel in B.C.
BCSC reprimands investment management firm
Toronto firm admits to advising clients in B.C. without being registered
- By: IE Staff
- July 8, 2005 July 8, 2005
- 12:30