The British Columbia Securities Commission (BCSC) today released a report detailing its enforcement activities for 2014. The report provides a high-level overview of the BCSC’s efforts to deter misconduct, protect investors, and ensure that B.C.’s capital markets function fairly and efficiently. This is the first Enforcement Report published by the BCSC.
The report outlines the legal powers available to the BCSC’s Enforcement division under the Securities Act to investigate and prosecute securities-related misconduct. It also describes the BCSC’s unique enforcement process, designed to move cases swiftly from the investigation stage to litigation.
The report includes summaries of 22 administrative cases and three criminal cases that resulted in findings from a BCSC hearing panel or a criminal court in 2014.
If you have questions or concerns regarding an investment opportunity, please contact BCSC Inquiries at 604-899-6854 or 1-800-373-6393 or through e-mail at [email protected].
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 decision related to a BCSC investigation. The Mutual Fund Dealers Association of Canada (MFDA) issued […]