Submitted by nsscadmin on
You may have heard the term embedded commission in the news recently. Following the release of CSA Notice 81-330, embedded commissions have been the talk of business and investing news programs and online, through news sites, social media and investment forums. The discussions and talks are helpful because it makes sure investors are informed about what is happening in the industry.
Submitted by nsscadmin on
This is an interesting question because robo-advisers don’t actually exist.
Submitted by nsscadmin on
First observed by the United Nations in 2012, World Elder Abuse Awareness Day 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.
Submitted by nsscadmin on
This is a difficult question to answer because most of the time the answer is yes. But, not always. Are we confusing you yet?
Submitted by nsscadmin on
Cryptocurrencies and Initial Coin Offerings (ICOs) seem to be everywhere right now. You hear about them in the news, on social media, and it seems like a new cryptocurrency or ICO appears daily.
Submitted by nsscadmin on
Cryptocurrency exchanges are also known as Cryptocurrency trading platforms. They are becoming increasingly popular and the number of online platforms have exploded over the last year. You may have seen commercials, online ads or print ads for exchanges like Coinsquare, Coinbase and Coinmama.
Submitted by nsscadmin on
Many recent articles and opinion pieces looking at cryptocurrencies and initial coin offerings mention the need to pass the Howey Test to fall into the realm of securities. That’s fine as long as you know what the Howey Test is. One of our readers asked us to explain it.
Submitted by nsscadmin on
Following last week’s rundown on how to check registration, we received similar requests to show how to check the CSA’s Disciplined Person’s list.
To start you first need to go to the CSA website, which can be found at www.securities-administrators.ca. At the top of the page you’ll see six tabs. Hover over the “Enforcement” tab and click on “Disciplined List.” That will take you here:
Submitted by nsscadmin on
At the Nova Scotia Securities Commission we talk about checking registration a lot. We write about it. We Tweet about it. We talk about in presentations over and over. Checking registration is one of the safe guards we promote to anyone looking for, or currently working with an adviser. Even though we repeatedly mention it in our content, one reader wanted to know exactly how to do it and how to read the results of a check registration search.
Submitted by nsscadmin on
Earlier this week we received a call from a concerned investor who did not find her adviser when she went to check his registration. Was her adviser selling or advising on securities without being registered? The answer actually was no. The reason – he was selling segregated funds.