Home Nova Scotia Securities Commission Page 6

Company: Nova Scotia Securities Commission

82 results found

NSSC imposes $100,000 fine on Keybase Financial

Fund dealer improves internal compliance systems

  • By: IE Staff
  • November 23, 2012 November 23, 2012
  • 14:25

NSSC fines former Helical insiders

Former executives failed to disclose trades

  • By: IE Staff
  • November 21, 2012 November 21, 2012
  • 14:00

NSSC stops proceedings against Knowledge House insiders

Allegations against MacLeod and Wadden dropped

Discovery question to be answered, says NSSC

NBF settlement hearing to proceed

NSSC fines fund salesman

BMO Nesbitt salesman admits to falsifying client document

  • By: IE Staff
  • September 21, 2012 September 21, 2012
  • 09:15

Expert advice not subject to litigation privilege, NSSC panel says

Sheito and Woods ordered to materials in expert report

NSSC reciprocates Florida sanctions

Cease-trade order imposed against Bernadette Brown

NSSC sanctions promoter for Ponzi scheme

Sales operated Infinity Online Investors Group

  • May 16, 2012 May 16, 2012
  • 11:00

N.S. amendments harmonize securities legislation to national standard

Changes enable the Nova Scotia Securities Commission to conduct prosecution of insiders

  • By: IE Staff
  • April 19, 2012 April 19, 2012
  • 11:15

NSSC assessed more than $2 million in fines in 2011

65 complaints investigated

  • By: IE Staff
  • February 29, 2012 February 29, 2012
  • 10:50