Investors warned not to purchase securities from firm
Exemption applies for one year, or until SROs’ CRM rules take effect
Smylski provided investment advice without being registered
Amendments intended to make rules clearer
Incorrect registration nets $20,000 penalty
Proposed registration requirements would include passing a qualification exam
Picking up investment commissions on the side will be harder for professionals such as accountants
The Canadian Securities Administrators has granted a series of exemptions from registration requirements introduced as part of the registration reform that was implemented last fall.CSA Staff Notice 31-315 notice summarizes the orders, which will take effect on February 26.In the notice, the CSA explains that since the registration reform came into force it has received […]
Investors encouraged to check the registration of a financial advisor or firm or
List created in response to public enquiries
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