2008/53 Ontario investment firm fined for advising in B.C. without registration

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2008/53 Ontario investment firm fined for advising in B.C. without registration

« on: August 15, 2008, 02:03:10 PM »

2008/53 Ontario investment firm fined for advising in B.C.

without registration





Vancouver - The British Columbia Securities Commission

has settled with an Ontario-based investment firm that agreed

to pay $19,825 in fines and fees for advising clients without

being registered. Doherty & Associates Ltd., an investment

counsel and portfolio manager registered in Ontario, admitted

in a settlement agreement with the BCSC ...




http://www.bcsc.bc.ca/release.asp?id=6810


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2008/53 Ontario investment firm fined for advising in B.C. without registration

« on: August 15, 2008, 02:03:10 PM »


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