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2008/19 Alberta investment firm fined for advising clients without B.C. registration

Stock Market Forums > Securities Regulators > BC Securities Commission > 2008/19 Alberta investment firm fined for advising clients without B.C. registration

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2008/19 Alberta investment firm fined for advising clients without B.C. registration

« on: February 27, 2008, 02:00:47 PM »

2008/19 Alberta investment firm fined for advising clients

without B.C. registration





Vancouver - The British Columbia Securities Commission

has settled with an Alberta-based investment firm that has

agreed to pay $92,575 for giving investment advice without

being registered. CWM Investment Counsel Inc. (CWM), an investment

firm based in Alberta, admitted in a settlement agreement

with the BCSC that it had provided investment advice ...




http://www.bcsc.bc.ca/release.asp?id=6192


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2008/19 Alberta investment firm fined for advising clients without B.C. registration

« on: February 27, 2008, 02:00:47 PM »


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