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Reciprocal market prohibitions ordered by consent following Alberta Securities Commission settlement.
Staff of the Ontario Securities Commission sought an inter-jurisdictional enforcement order under subsection 127(10) of the Securities Act against the respondents, who had previously entered into a settlement agreement with the Alberta Securities Commission for unregistered trading and illegal distribution.
The respondents consented to the requested order.
The Commission granted the order, imposing reciprocal market prohibitions and trading bans in Ontario until August 17, 2023.
