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

Jul 02

Alberta Securities Commission Releases List of Unpaid Orders

The Alberta Securities Commission (ASC) has published a list of individuals and companies with unpaid administrative penalties, disgorgement orders and/or costs that were imposed as a result of enforcement proceedings in Alberta.  “Holding respondents accountable for their misconduct is important for investor protection and for protecting the integrity of the Alberta capital market” said Bill Rice, Chair and CEO of the Alberta Securities Commission.  “Enforcing Commission orders, including collecting outstanding amounts owed, is key to effective deterrence.” When an individual or company is found to have breached Alberta securities laws, the ASC may issue orders against or enter into settlement agreements with that individual or company. Respondents are legally required to pay any administrative penalties, disgorgement orders, settlement monies and/or costs arising from such orders or settlement agreements.  Many orders also ban respondents from certain types of activity, such as acting as a director or officer of a public company.  The ASC pursues all avenues of collection available, including questionings, seizure of assets, and garnishment of wages, both inside and outside the province of Alberta. The unpaid orders list is updated quarterly; it can be found on the ASC website at www.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. - 30 - For further information please contact: Read more

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What mom taught us about money

Did you know that June 15, 2015 is World Elder Abuse Awareness day? This United Nations initiative is acknowledged every year on a global scale and aims to garner recognition and awareness surrounding common types of abuse targeted towards seniors, including, but not limited to financial abuse. One type of financial abuse is investment fraud.

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Learn the basics of investing

Need help with understanding different types of investments or how to find a financial adviser? It’s never too late to get some useful tips and information.

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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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