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Enforcement Roundup – July/August 2016

Posted by Ken at 9/23/2016 10:15:00 AM | 0 Comment

In this edition of the Enforcement Roundup, we summarize cases from this past summer. In July and August, there were six enforcement decisions from BC Securities Commission (BCSC) panels and one settlement agreement. We also feature a BC Supreme Court... Read more

Category: Enforcement

CRM2 Video Series: Buying and Selling Investments

Posted by Ken at 9/22/2016 11:30:00 AM | 0 Comment

Our video called “What You Pay to Buy and Sell” sets out what your registered investment advisor must tell you before a trade. This includes any fees and other charges that you must pay, whether your advisor’s firm will receive... Read more

Category: Advisors,Products

CRM2 Video Series: What to Expect from Your Advisor

Posted by Ken at 9/16/2016 1:30:00 PM | 0 Comment

Our video called “What to Expect from Your Registered Investment Advisor” sets out new items that your advisor must include in client relationship documents you receive when you open an investment account. Generally, an investment advisor must include anything of... Read more

Category: Advisors,Education

New Video Series Focuses on Fees and Charges

Posted by Ken at 9/13/2016 9:45:00 AM | 0 Comment

We released five new videos today to raise awareness about changes in how registered investment advisors must report to investors about the fees they pay, the performance of their investments, and the content of their account documents. These videos help... Read more

Category: Advisors,Education

BCSC Adds Eight New Entities to the Investment Caution List

Posted by cchan at 7/22/2016 10:00:00 AM | 0 Comment

The BC Securities Commission (BCSC) proactively helps protect BC investors by publishing an Investment Caution List. In this blog post, we highlight eight entities that were added to the Investment Caution List between May... Read more

Category: Terms,Enforcement

BC Securities Enforcement Roundup - June 2016

Posted by eaddleman@bcsc.bc.ca at 7/8/2016 1:15:00 PM | 0 Comment

Every month we release an Enforcement Roundup. We cover British Columbia Securities Commission (BCSC) regulatory cases and report on other self-regulatory organizations’ decisions when pertinent. From time-to-time, we also cover criminal cases related to our decisions or investigations.... This... Read more

Category: Enforcement

Preparing for a possible postal service disruption

Posted by eaddleman@bcsc.bc.ca at 6/29/2016 11:40:00 AM | 0 Comment

In light of the possibility of a Canada-wide postal disruption, you may not receive statements and other documents that you would normally receive from your investment advisor or your financial institution....
... Read more

Category: Planning,Products

BC Securities Enforcement Roundup – May 2016

Posted by eaddleman@bcsc.bc.ca at 6/14/2016 2:35:00 PM | 0 Comment

Every month we release an Enforcement Roundup. We cover British Columbia Securities Commission (BCSC) regulatory cases and report on other self-regulatory organizations’ decisions when pertinent. From time-to-time, we also cover criminal cases related to our decisions or investigations.... ... Read more

Category: Enforcement

CSA Study: Increasing number of Canadians reviewing risk tolerance

Posted by eaddleman@bcsc.bc.ca at 6/2/2016 3:20:00 PM | 0 Comment

A new survey conducted by the Canadian Securities Administrators (CSA) found that changes in the economy (38 per cent) and advice from a financial advisor (36 per cent) are the top two reasons why investors who normally do not review their... Read more

Category: Education,Research

BC Securities Enforcement Roundup - April 2016

Posted by eaddleman@bcsc.bc.ca at 5/6/2016 2:00:00 PM | 0 Comment

Every month we release an Enforcement Roundup. We cover British Columbia Securities Commission (BCSC) regulatory cases and report on other self-regulatory organizations’ decisions when pertinent. From time-to-time, we also cover criminal cases related to our decisions or investigations.... This Enforcement... Read more

Category: Enforcement

BCSC Adds 13 New Entities to the Investment Caution List

Posted by eaddleman@bcsc.bc.ca at 4/28/2016 2:05:00 PM | 0 Comment

The BC Securities Commission (BCSC) proactively helps protect British Columbia (BC) investors by publishing an Investment Caution List. In this blog post, we highlight thirteen names that we added to the Investment Caution List between February... Read more

Category: Warning,Enforcement

NASAA’s Annual List of Top Five Investor Threats

Posted by eaddleman@bcsc.bc.ca at 4/14/2016 12:50:00 PM | 0 Comment

Every year, the North American Securities Administrators Association (NASAA) releases an annual list of the top five threats to investors. NASAA determines its list by surveying state and provincial securities regulators to find out... Read more

Category: Scams,Warning

BC Securities Enforcement Roundup - March 2016

Posted by eaddleman@bcsc.bc.ca at 4/7/2016 3:20:00 PM | 0 Comment

Every month we release an Enforcement Roundup. We cover British Columbia Securities Commission (BCSC) regulatory cases and report on other self-regulatory organizations’ decisions when pertinent. From time-to-time, we also cover criminal cases related to our decisions or investigations. This Enforcement... Read more

Category: Enforcement

Spot Investment Scams: Investment Ads

Posted by eaddleman@bcsc.bc.ca at 4/4/2016 12:30:00 PM | 0 Comment

Fraudsters often use newspapers, TV, radio, billboards, tradeshow booths, and seminars to promote fraudulent investments. Watch the BC Securities Commission’s new Spot Investment Scams video illustrating the risks of investing in an investment promotion without conducting research and due diligence... Read more

Category: Advisors,Products,Scams,Warning,Financial literacy

CSA alerts Canadians: Beware binary options platforms

Posted by eaddleman@bcsc.bc.ca at 3/23/2016 2:40:00 PM | 0 Comment

The Canadian Securities Administrators (CSA) are increasingly concerned about the growth in the number of websites promoting offshore binary options trading platforms that are targeting Canadians. The CSA wants to make it clear: no business is currently registered or authorized... Read more

Category: Advisors,Warning,Education

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