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Author Topic: 2008/19 Alberta investment firm fined for advising clients without B.C. registration  (Read 767 times)

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2008/19 Alberta investment firm fined for advising clients without B.C. registration
« on: February 28, 2008, 01:00:47 AM »
                                                                   
   
      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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