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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 22

ASC reciprocates bans against Richard Bruce Moore

The Alberta Securities Commission (ASC) has reciprocated bans the Ontario Securities Commission (OSC) imposed against Richard Bruce Moore.   An ASC panel ordered that, from April 16, 2013, Moore: must (with limited exceptions) cease trading in or purchasing securities, and all Alberta securities laws exemptions do not apply to him, for 10 years; is prohibited from becoming or acting as a director or officer (or both) of any reporting issuer, for 10 years; and is prohibited from becoming or acting as a registrant, an investment fund manager, a promoter in respect of a reporting issuer, or a director or officer (or both) of any registrant or investment fund manager, for 15 years.   On April 16, 2013, the OSC issued an order approving a settlement agreement between OSC staff and Moore.  Moore admitted to acting contrary to the public interest and (in respect of one issuer) engaging in illegal insider trading in contravention of Ontario securities laws. There was also a parallel investigation by the United States Securities and Exchange Commission, which reached a settlement with Moore.   A copy of the decision is available on the ASC website at   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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