Alberta Securities Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 13 Dec 2024 21:30:31 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Alberta Securities Commission – Investment Executive https://www.investmentexecutive.com 32 32 ASC issues permanent ban on man who promoted fake legal services startup https://www.investmentexecutive.com/news/from-the-regulators/asc-issues-permanent-ban-on-man-who-promoted-fake-legal-services-startup/ Fri, 13 Dec 2024 20:52:26 +0000 https://www.investmentexecutive.com/?p=498538 Alberta man stole more than $500,000 from vulnerable investors

The post ASC issues permanent ban on man who promoted fake legal services startup appeared first on Investment Executive.

]]> ASC sanctions accountant’s fraud https://www.investmentexecutive.com/news/from-the-regulators/asc-sanctions-accountants-fraud/ Fri, 06 Dec 2024 22:37:23 +0000 https://www.investmentexecutive.com/?p=498145 Intent is relevant to sanctions, panel says, imposing permanent market ban

The post ASC sanctions accountant’s fraud appeared first on Investment Executive.

]]> Regulators rule out discretionary AI trading, for now https://www.investmentexecutive.com/news/from-the-regulators/regulators-rule-out-discretionary-ai-trading-for-now/ Thu, 05 Dec 2024 21:47:19 +0000 https://www.investmentexecutive.com/?p=498037 CSA issues new guidance, consults on possible future reforms to address AI advances

The post Regulators rule out discretionary AI trading, for now appeared first on Investment Executive.

]]> CIRO poised to take over dealer registration https://www.investmentexecutive.com/news/from-the-regulators/ciro-poised-to-take-over-dealer-registration/ Wed, 20 Nov 2024 18:37:45 +0000 https://www.investmentexecutive.com/?p=497037 OSC to delegate registration to CIRO, rest of CSA considering it too

The post CIRO poised to take over dealer registration appeared first on Investment Executive.

]]> CSA to expand electronic access disclosure model https://www.investmentexecutive.com/news/from-the-regulators/csa-to-expand-electronic-access-disclosure-model/ Tue, 19 Nov 2024 21:02:50 +0000 https://www.investmentexecutive.com/?p=496994 Regulators aim to address concerns about retail investor protection

The post CSA to expand electronic access disclosure model appeared first on Investment Executive.

]]> Women welcome on boards, scarce in C-suites https://www.investmentexecutive.com/news/from-the-regulators/women-welcome-on-boards-scarce-in-c-suites/ Wed, 30 Oct 2024 17:50:43 +0000 https://www.investmentexecutive.com/?p=495709 Review highlights improved board diversity, lack of female CEOs, CFOs

The post Women welcome on boards, scarce in C-suites appeared first on Investment Executive.

]]> ASC shifts its approach to costs orders https://www.investmentexecutive.com/news/from-the-regulators/asc-shifts-its-approach-to-costs-orders/ Mon, 21 Oct 2024 18:05:05 +0000 https://www.investmentexecutive.com/?p=495167 Move from hourly to flat rate will improve transparency, efficiency: regulator

The post ASC shifts its approach to costs orders appeared first on Investment Executive.

]]> CSA seeks fund disclosure overhaul https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-fund-disclosure-overhaul/ Thu, 19 Sep 2024 19:35:45 +0000 https://www.investmentexecutive.com/?p=493111 Regulators propose new streamlined fund reports

The post CSA seeks fund disclosure overhaul appeared first on Investment Executive.

]]> Alberta fraudster gets four years in jail https://www.investmentexecutive.com/news/from-the-regulators/alberta-fraudster-gets-four-years-in-jail/ Fri, 16 Aug 2024 17:59:41 +0000 https://www.investmentexecutive.com/?p=491307 Sentencing followed long-running scheme that diverted more than $10.7 million of investor funds

The post Alberta fraudster gets four years in jail appeared first on Investment Executive.

]]> SEC alleges crypto scheme was a Ponzi https://www.investmentexecutive.com/news/from-the-regulators/sec-alleges-crypto-scheme-was-a-ponzi/ Mon, 12 Aug 2024 17:50:36 +0000 https://www.investmentexecutive.com/?p=490918 NovaTech allegedly took more than US$650 million from investors globally

The post SEC alleges crypto scheme was a Ponzi appeared first on Investment Executive.

]]>