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Company: Alberta Securities Commission

467 results found

ASC finds former Wolverton broker engaged in prohibited discretionary trading

Panel considering sanctions

  • By: IE Staff
  • February 10, 2005 February 10, 2005
  • 13:50

ASC proposes interim rule ahead of NI 81-106

Continuous disclosure and proxy solicitation requirements for investment funds to remain unchanged

ASC reports net loss in fiscal 2005 second quarter

Revenues cut by deferred fee increase

ASC issues warning on accredited investor exemption

Oxford Investments slapped with cease trade order for alleged misuse of exemption

Alberta fund firms can file with MFDA

No longer have to file monthly financials with ASC

  • By: IE Staff
  • October 19, 2004 October 19, 2004
  • 10:46

Sibold to leave ASC in spring

Five-year term began in May 2000

  • By: IE Staff
  • October 15, 2004 October 15, 2004
  • 08:28

ASC charges man with breaching cease-trade orders

Alleges Seto traded in securities of Genoray

  • By: IE Staff
  • October 6, 2004 October 6, 2004
  • 14:50

ASC voices concern over proposed Fair Dealing Model

Industry players consulted by the Alberta Securities Commission believe the Fair Dealing Model (FDM) proposed by the Ontario Securities Commission is unworkable and unjustified.In a letter sent to John Stevenson, OSC secretary, on September 16, Stephen Sibold, ASC chairman says the FDM could result in a loss of service for small retail investors, but could […]

ASC expands powers, duties of directors

New powers support continuous disclosure regime

  • By: IE Staff
  • September 23, 2004 September 23, 2004
  • 15:25

ASC levies lifetime ban on mutual fund salesman

Showers deceived clients about account performance

  • By: IE Staff
  • September 17, 2004 September 17, 2004
  • 13:10