The June 2021 edition of the Enforcement Roundup includes one enforcement action from the British Columbia Securities Commission (BCSC).
The BCSC reached a settlement agreement with Housego, a former portfolio manager, for failing to properly assess if investments were suitable for his clients.
As part of the settlement, Housego has agreed to pay $150,000 to the BCSC, and is prohibited for 15 years from various securities-related activities.
Read the news release for full details.
Report a Concern
If you have any concerns about a person or company offering an investment opportunity, please contact BCSC Inquiries at 604-899-6854 or 1-800-373-6393 or through e-mail at [email protected]. You can also file a complaint or submit a tip anonymously using the BCSC’s online complaint form.