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Current News Releases
2011
December 30, 2011
BCSC issues $100,000 fine and permanent ban against former mutual fund salesperson for fraud
December 30, 2011
BCSC panel issues $100,000 fines and permanent bans against four individuals for advance-fee scheme
December 23, 2011
BCSC panel permanently cease-trades two purported U.S. companies
December 22, 2011
BCSC panel finds that two B.C. men illegally traded and distributed securities
December 21, 2011
BCSC panel finds that Richmond man illegally sold shares in U.S. company
December 19, 2011
BCSC panel orders discontinuance of insider trading hearing against U.S. man
December 13, 2011
BCSC Executive Director’s Bulletin: Securities regulator issues notice of hearing and temporary orders for alleged foreign exchange fraud
December 12, 2011
BCSC Executive Director’s Bulletin: Securities regulator issues temporary orders and notice of hearing against Nevada corporation for perpetrating fraud
December 9, 2011
West Vancouver man agrees to fine and sanctions for illegal insider trading in settlement with BCSC
November 25, 2011
Canadian securities regulators propose amendments to “pre-marketing” and “marketing” prospectus rules
November 25, 2011
The CSA seeks comments on the regulation of over-the-counter derivatives surveillance and enforcement
November 25, 2011
Canadian securities regulators propose enhancements to scholarship plan disclosure
November 23, 2011
Illegal insider trading decision on Torudag upheld
November 23, 2011
BCSC panel finds that woman made false or misleading statements to commission staff
November 18, 2011
Canadian securities regulators announce enhanced policy concerning electronic delivery of documents
November 14, 2011
Man who engaged in illegal insider trading banned and fined $1.5 million
November 10, 2011
Canadian securities regulators announce review of minimum amount and accredited investor prospectus exemptions
October 31, 2011
Canadian securities regulators announce launch of online investment fraud awareness campaign
October 31, 2011
BC Securities Commission releases its National Report Card on Youth Financial Literacy (ENG. and FR.)
October 28, 2011
Commission overturns IIROC hearing panel decision
October 25, 2011
Commission panel permanently bans U.S. man for $6 million fraud
October 24, 2011
BCSC Executive Director’s Bulletin: Securities regulator issues notice of hearing alleging illegal distribution
October 24, 2011
Top investment scams in Canada
October 14, 2011
Former CEO agrees to sanctions in settlement with BCSC
October 11, 2011
BC Securities Commission launches a three-year “Be Fraud Aware” campaign
October 7, 2011
Alberta and B.C. securities regulators seek comment on Maple Group Acquisition Corporation’s offer to acquire the TMX Group
September 9, 2011
B.C. regulator reviewing anonymous complaint against SilverCorp Metals Inc.
September 7, 2011
BCSC Executive Director’s Bulletin: Securities regulator issues notice of hearing alleging that unregistered Bahamian company engaged in misconduct
August 31, 2011
Mortgage broker agrees to pay $7,000 for trading without registration
August 12, 2011
Canadian Securities Regulators proceed with Stage 2 of Point of Sale Disclosure for Mutual Funds
August 11, 2011
BC investors get more information about private capital-raising
August 9, 2011
BCSC Executive Director’s Bulletin: Securities regulator issues amended notice of hearing alleging market manipulation by seven men
August 8, 2011
BCSC Executive Director’s Bulletin: Securities regulator issues notice of hearing seeking orders against West Vancouver man for illegal insider trading
July 29, 2011
CSA and IIROC announce regulatory framework for dark liquidity in Canada
July 29, 2011
Canadian securities regulators seek comment on proposed rule for venture issuers
July 28, 2011
BCSC Executive Director’s Bulletin: Securities regulator alleges B.C. man committed fraud
July 28, 2011
BCSC panel finds man engaged in illegal insider trading and made misleading statements to commission staff
July 22, 2011
Canadian Securities Regulators proceed with enhanced executive compensation disclosure requirements
July 15, 2011
BCSC Executive Director’s Bulletin: Securities regulator issues notice of hearing seeking orders against two B.C. residents for insider trading
July 15, 2011
Canadian securities regulators seek comment on proposed amendments to prospectus rules
July 15, 2011
Canadian Securities Regulators announce results of continuous disclosure reviews for fiscal 2011
July 13, 2011
BCSC panels issue reciprocal orders against 10 people
July 8, 2011
Couple arrested following BCSC investigation
July 5, 2011
Canadian Securities Administrators publish guidance on marketing practices of portfolio managers
June 30, 2011
TMX/LSE withdraw application related to proposed merger
June 29, 2011
BCSC panel permanently bans B.C. man for fraudulently obtaining over $500,000
June 28, 2011
BCSC panel fines man $20,000 and bans him for 5 years
June 23, 2011
Survey: Work experience and financial literacy programs helping Kelowna-area grads make it in the “real world”
June 23, 2011
Canadian Securities Administrators seek comments on regulation of over-the-counter derivatives trade reporting and repositories
June 22, 2011
BCSC panel fines man $1.9 million and bans him for 20 years
June 22, 2011
Canadian Securities Administrators propose enhanced disclosure requirements on investment costs and performance
June 10, 2011
Canadian securities regulators propose adopting BC’s Over-the-Counter rule [CSA]
June 9, 2011
Civil forfeiture returns cash to Ponzi scheme victims
June 8, 2011
BCSC Executive Director’s Bulletin: Securities regulator alleges fraud by former mutual fund salesperson
June 7, 2011
Commission provides more investor education for Chinese community
June 1, 2011
Investment dealer pays $30,000 for contravening cease trade orders
June 1, 2011
Canadian securities regulators issue guidance in the event of the disruption of mail service [CSA]
June 1, 2011
Winnipeg Student wins 2011 CSA Financial Fitness Challenge grand prize [CSA]
May 27, 2011
Vancouver investment advisor sanctioned
May 27, 2011
Man fined $75,000 and banned 25 years for making false statements
May 26, 2011
Canadian securities regulators seek feedback on next phase of investment funds modernization initiative [CSA]
May 24, 2011
BCSC Executive Director’s Bulletin: Securities regulator issues notice of hearing seeking orders against four individuals for advance fee scheme
May 13, 2011
Alberta and B.C. securities regulators seek comment on London Stock Exchange-TMX merger
May 11, 2011
BCSC concludes review of trading in Taseko Mines Ltd. shares
May 10, 2011
Former insurance agent and mutual funds salesman banned from B.C. markets for 15 years
May 4, 2011
BCSC panel fines Victoria man $50,000 and bans him for 15 years
April 29, 2011
Canadian securities regulators propose enhanced policy concerning electronic delivery of documents
April 28, 2011
Commission confirms MFDA panel ruling on mutual fund salesperson
April 15, 2011
Canadian securities regulators update registration regime for registrants
April 12, 2011
BCSC panels issue reciprocal orders against 19 people
April 8, 2011
Canadian securities regulators adopt new version of mining rule
April 8, 2011
Canadian securities regulators take steps to reduce risks associated with electronic trading
April 1, 2011
Commission overturns IIROC panel decision that Victoria broker contravened IIROC rules
April 1, 2011
Canadian securities regulators release oversight review of IIROC
April 1, 2011
Canadian securities regulators propose enhanced oversight of securitized products
March 29, 2011
CSA, IIROC and MFDA launch expanded disciplined persons list
March 28, 2011
B.C. man previously convicted for involvement in Ponzi scheme banned 25 years for running illegal phone room
March 23, 2011
Investment dealer and registrant fined for contravening BCSC orders
March 21, 2011
BCSC Executive Director’s Bulletin: Securities regulator partially suspends portfolio manager’s registration
March 18, 2011
Canadian securities regulators update proposal on regulatory regime for credit rating organizations
March 10, 2011
BCSC Executive Director’s Bulletin: Over-the-counter issuer temporarily cease traded while securities regulator seeks clarification on promotional activities
March 9, 2011
BCSC Executive Director’s Bulletin: Securities regulator alleges B.C. man perpetrated a fraud
March 8, 2011
CSA’s free mobile money management app helps track saving and spending
March 3, 2011
Canadian securities regulators caution against online investment fraud
February 23, 2011
Media Advisory: BCSC Chair to speak in Kamloops
February 22, 2011
Canadian Securities Regulators’ 2010 Enforcement Report Indicates More Violators Facing Jail Time for Breaching Securities Laws
February 14, 2011
Financial planner pays $15,000 and is disciplined for making illegal distributions
February 13, 2011
Online videos and contest offer youth chance to get financially fit and win big
February 11, 2011
Former CEO banned for 20 years for illegal distributions
February 10, 2011
BCSC Executive Director’s Bulletin: Securities regulator issues notice of a hearing seeking orders against disciplined former registrant
February 7, 2011
BCSC Executive Director’s Bulletin: Securities regulator alleges mining company made misrepresentations in its news releases
February 7, 2011
BCSC panel fines fraudster $6 million and issues lifetime bans
February 2, 2011
BCSC Executive Director’s Bulletin: Securities regulator alleges former director of a public company made illegal insider trades
January 31, 2011
Securities regulators release results of 2010 TSX Venture Exchange oversight reviews
January 28, 2011
BCSC Executive Director’s Bulletin: Securities regulator alleges woman made false or misleading statements
January 24, 2011
BCSC panels issue reciprocal orders against 10 individuals
January 21, 2011
Bill Rice named new Chair of the Canadian Securities Administrators [CSA]
January 12, 2011
BCSC panel finds MFDA acted improperly in soliciting proxies
January 5, 2011
BCSC Executive Director’s Bulletin: Securities regulator alleges Richmond man illegally sold shares of U.S. company
January 5, 2011
BCSC Executive Director’s Bulletin: Securities regulator alleges mortgage broker illegally distributed securities
