Keyword: Private placements

44 results found
Regulators keep savvy-investor exemption article image Light bulb

Regulators keep savvy-investor exemption

BCSC sanctions second man in consulting sham

Investors misled on NFT deal, OSC alleges article image Judge's gavel with magnifying glass on black.

Investors misled on NFT deal, OSC alleges

Consultant sanctioned in private placement scheme article image A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Consultant sanctioned in private placement scheme

Paris-based private investment firm opens Montreal office article image new label

Paris-based private investment firm opens Montreal office

  • By: IE Staff
  • October 19, 2023 October 20, 2023
  • 16:32

BCSC settles with participants in consultant scheme

U.S. brokers need work on best interest compliance

CIRO fines firm for retail compliance violations article image Judge's gavel with magnifying glass on black.

CIRO fines firm for retail compliance violations

FINRA to firm: Get out! article image Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

FINRA to firm: Get out!

NASAA defends public markets, investors