Securities Commission Archives - The Industry Spread

Fraser Valley Man Penalized for Committing Fraud

June 16, 2019

A panel of the British Columbia Securities Commission (BCSC) has imposed a $350,000 administrative penalty on Fraser Valley Man William Wade Furman who deceived investors about his status as a registrant, his prior history of success in trading in securities and his use of investor funds.

BCSC Releases Annual Report on Compliance

December 8, 2018

The British Columbia Securities Commission (BCSC) is finding more deficiencies among portfolio managers, investment fund managers and exempt market dealers, as the commission becomes increasingly precise in choosing which firms to closely scrutinize.