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The last three months were a busy time for securities regulators. Several releases and notices were issued by the Nova Scotia Securities Commission and the Canadian Securities Administrators. In case you missed any of these releases or notices here’s a quick rundown on what they meant for issuers and investors and links to the documents, where you can find the full details.
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Over-the counter markets (OTC markets are marketplaces, not exchanges, where traders can buy and sell securities that have been issued by small companies. These securities typically have little liquidity because they are not frequently traded. Transactions on OTC markets are conducted directly between the buyer and the seller.
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Do you know your risk capacity when it comes to investing?
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Submitted by nsscadmin on
As we get to the end of Seniors’ Month let’s talk about investment scams that specifically target seniors.
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Two weeks ago, a blog post talked about trusted contact persons (TCP). The same amendments that allowed advisers to ask for and collect TCP information also allowed an adviser to place a temporary hold on a transaction in certain circumstances.
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First observed by the United Nations in 2012, World Elder Abuse Awareness Day (WEAAD) recognizes that nearly every country across the globe will see a substantial growth in the number of older persons in the next decade. With the population of older persons increasing, it unfortunately also leads to an increase in the amount of elder abuse.
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Do you have a trusted contact person (TCP)? At the end of last year new amendments to securities laws require advisers to ask their clients to name a TCP that the adviser can contact under certain circumstances. Advisers are required to ask for this information and get written consent to use it, but it is up to the investor to determine if they want to provide it.
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June is Seniors Month. Throughout the month we’ll be sharing investing content that is relevant for seniors, their families, and caregivers.
On our website, all investor education materials that have been developed for seniors can be found in one place on our Investing Information for Seniors webpage.
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As we’ve mentioned in several of our blog posts, the Nova Scotia Securities Commission does not provide investment advice. That means we can’t answer questions that ask, “should I choose investment A or investment B?” or make recommendations on investments or investment strategy.