COMPLIANCE SETTLEMENT AGREEMENTCompliance Settlement Agreement • January 7th, 2020
The Prospectus Requirement is a fundamental element of Alberta’s securities regulatory regime. It is intended to protect investors by assisting them in making informed investment decisions based on reliable disclosure about an offered investment, the issuer and its promoters, and associated risks. A breach of the Prospectus Requirement deprives investors of this fundamental protection, exposing them to the risks of ill-informed investment decisions, undermines the fairness and efficiency of the capital market and jeopardizes confidence in that market.
COMPLIANCE SETTLEMENT AGREEMENT AND UNDERTAKINGCompliance Settlement Agreement • June 8th, 2017
