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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

Apr 28

ASC suspends registration of Walton Capital Management Inc.

CALGARY – April 28, 2017 – The Alberta Securities Commission (ASC) has suspended the registration of Walton Capital Management Inc. (WCMI) after a meeting with WCMI management today, pending the surrender of the registration of the firm. WCMI consented to the suspension. While the suspension remains in place, WCMI is prohibited from providing advice and selling securities to investors. The ASC will be following up with WCMI concerning their regulatory obligations. The ASC is the regulatory agency responsible for administering the province's securities laws. It is entrusted with fostering a fair and efficient capital market in Alberta and with protecting investors. As a member of the Canadian Securities Administrators, the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets. - 30 - For more information: Read more

Calendar of events 

Cons, coffees and checking registration - A look back on Fraud Prevention Month

The coffee offered at our CheckFirst Café wasn’t the only bold thing the ASC served up this March for Fraud Prevention Month. We orchestrated the ‘perfect scam’ as part of a stunning public awareness campaign, and just in time for April Fools!

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Glossary

High Yield Investment Program (HYIP)

An investment that promises high rates of return but is a scam. It is a type of Ponzi scheme where returns are paid with money invested by new investors.

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