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

Sep 11

ASC reaches settlement agreement with Ryan James McCool

​The Alberta Securities Commission (ASC) has concluded a settlement agreement with Alberta resident Ryan James McCool related to distributions made by Sundre River Resorts Inc. Under the Settlement Agreement, McCool paid the ASC $15,000 and $2,000 in costs, and for a period of two years agreed to refrain from using any exemptions under Alberta securities laws and not to act as a director or officer of any issuer, registrant or investment fund manager that is relying on any exemptions (with limited exceptions). In the Settlement Agreement, McCool admitted that between September 2009 and June 2012 he permitted Sundre River Resorts to raise approximately $1.2 million from approximately 30 Alberta investors without filing a prospectus or preliminary prospectus and without an applicable prospectus exemption.  McCool also admitted that he was the sole director, a shareholder, and Vice-President of Sundre River Resorts.A copy of the Settlement Agreement 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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Back to school - learn the ‘Basics of Investing’

It’s that most wonderful time of the year – back to school! Time to sharpen those pencils and brush up your investing skills. No matter what age you are, there’s always something to learn.

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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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