NBSC issues draft recognition order
Most don’t have a financial plan with clear investment goals
Regulator investigating alleged unregistered trading
NBSC issues list of common scams
Investors urged not to let embarrassment prevent reporting of fraud or abuse
Advisor to pay a penalty of $10,000
April event designed to support capital market development
Dealer used non-registered salespersons
Regulator hope dialogue will identify solutions
Presentations scheduled for Fredericton, Moncton