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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).
CALGARY – March 19, 2018 – The Alberta Securities Commission (ASC) has extended the Interim Cease Trade Order that was issued March 2, 2018 against Nicholas John Felgate.
The Extending Order prohibits Felgate from trading in all securities and from using any exemptions contained in Alberta securities laws.
The Extending Order is in effect until July 31, 2018.
A copy of the Extending Interim Cease Trade Order can be found on the ASC website at albertasecurities.com.
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.
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March 15 is World Consumer Rights Day, celebrated since 1983 to raise global awareness about consumer rights and needs. At the ASC, we’re seizing the opportunity to remind investors of their rights.
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We are conducting a review of the FFBA prospectus exemption. The intent of this review is to help the ASC better understand the use of the exemption. We have selected a random sample of investors who will receive our questionnaire shortly.
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