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Company: Alberta Securities Commission

467 results found

Audits reveal SRO concerns

ASC says some improvements needed at IDA, MFDA

  • By: IE Staff
  • September 10, 2004 September 10, 2004
  • 16:18

ASC income slips in first quarter

National registration system eats into revenues

Exempt financings doubled under new capital raising rules, says ASC

Exemptions credited for increasing opportunities for investors, companies

  • By: IE Staff
  • August 10, 2004 August 10, 2004
  • 14:20

ASC sanctions former Golden Rule CEO

Harper prohibited from acting as director, officer

  • By: IE Staff
  • June 18, 2004 June 18, 2004
  • 11:15

Alberta fund salesman fined for recommending unsuitable investments

ASC hands Wallace 15 year ban

  • By: IE Staff
  • May 21, 2004 May 21, 2004
  • 12:10

CSA chair praises USL project

Sibold touts uniform securities law, argues against national regulator

  • May 11, 2004 May 11, 2004
  • 15:30

Alberta’s capital market ranks second in Canada: report

Report shows evidence of multi-tiered market: ASC

  • By: IE Staff
  • March 30, 2004 March 30, 2004
  • 14:55

ASC releases decisions in regard to Anthony Clark International

Podorieszachs breached Securities Act; Roche allegations dismissed

  • By: IE Staff
  • March 26, 2004 March 26, 2004
  • 15:15

ASC issues interim orders against TSX-listed Wenzel Downhole, principal

Cease trade orders in effect for 15 days

  • By: IE Staff
  • March 22, 2004 March 22, 2004
  • 14:20

ASC reports Q3 loss

Shortfall in revenue due to implementation of new registration system

  • By: IE Staff
  • February 25, 2004 February 25, 2004
  • 11:50