British Columbia Securities Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 22:16:11 +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 British Columbia Securities Commission – Investment Executive https://www.investmentexecutive.com 32 32 Breaching BCSC freeze order lands man in jail https://www.investmentexecutive.com/news/from-the-regulators/breaching-bcsc-freeze-order-lands-man-in-jail/ Fri, 20 Dec 2024 22:16:11 +0000 https://www.investmentexecutive.com/?p=499134 Regulator found bank accounts frozen during an investigation had been depleted

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]]> BCSC sanctions woman in Chinese student scam https://www.investmentexecutive.com/news/from-the-regulators/bcsc-sanctions-woman-in-chinese-student-scam/ Fri, 13 Dec 2024 22:25:30 +0000 https://www.investmentexecutive.com/?p=498572 Panel orders $3.3 million in penalty, disgorgement

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]]> BCSC steps up fight against misleading investors https://www.investmentexecutive.com/news/from-the-regulators/bcsc-steps-up-fight-against-misleading-investors/ Fri, 13 Dec 2024 20:04:53 +0000 https://www.investmentexecutive.com/?p=498510 Regulator issues guidance on broader protections against misinformation

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]]> B.C. court upholds limitations on asset freezes https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-upholds-limitations-on-asset-freezes/ Mon, 09 Dec 2024 19:11:57 +0000 https://www.investmentexecutive.com/?p=498193 Target of SEC enforcement can have access to frozen funds for appeal, court says

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]]> Robo advisor sanctioned over CFR shortcomings https://www.investmentexecutive.com/news/from-the-regulators/robo-advisor-sanctioned-over-cfr-shortcomings/ Tue, 03 Dec 2024 13:56:42 +0000 https://www.investmentexecutive.com/?p=497778 Compliance sweep in 2022 found WealthBar wasn't meeting new standards

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]]> The wild west of crypto enforcement https://www.investmentexecutive.com/news/from-the-regulators/the-wild-volatility-of-crypto-enforcement/ Mon, 02 Dec 2024 20:20:34 +0000 https://www.investmentexecutive.com/?p=497762 Given misconduct worth somewhere between $1.6 million and $94 million, BCSC panel takes a shot at valuing crypto disgorgement

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]]> Court rules BCSC panel’s process was unfair https://www.investmentexecutive.com/news/from-the-regulators/court-rules-bcsc-panels-process-was-unfair/ Mon, 18 Nov 2024 19:41:55 +0000 https://www.investmentexecutive.com/?p=496909 Target of insider trading case was prevented from airing abuse of process claims, court says

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]]> BCSC sanctions unregistered trading https://www.investmentexecutive.com/news/from-the-regulators/bcsc-sanctions-unregistered-trading/ Wed, 30 Oct 2024 18:44:50 +0000 https://www.investmentexecutive.com/?p=495722 Man banned four years, pays $135,000 in settlement with regulator

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]]> Illegal distribution victim to get more money back: BCSC https://www.investmentexecutive.com/news/from-the-regulators/illegal-distribution-victim-to-get-more-money-back-bcsc/ Wed, 18 Sep 2024 19:45:29 +0000 https://www.investmentexecutive.com/?p=493046 Investor lost $1.75 million after mortgaging home to invest

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]]> BCSC bans unregistered crypto platform https://www.investmentexecutive.com/news/from-the-regulators/bcsc-bans-unregistered-crypto-platform/ Tue, 17 Sep 2024 20:28:26 +0000 https://www.investmentexecutive.com/?p=492931 Sanctions seek deterrence, level playing field for compliant crypto firms

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