Sentences with phrase «unregistered trading in securities»

Jeremy Peers was charged with thirty - three offences under s. 194 of the Alberta Securities Act, including unregistered trading in securities, non-compliance with prospectus disclosure obligations, misrepresentation, and fraudulent use of investor funds.

Not exact matches

By considering all ICOs illegal rather than differentiating ones that trade in unregistered securities from ones that act more like tokens to use certain decentralized apps, China is taking a heavy - handed approach.

Rule 144a is an SEC rule issued in 1990 that modified a two - year holding period requirement on privately placed securities by allowing qualified institutional buyers to buy and trade unregistered securities among themselves.

Charges were dismissed by the Ontario Court of Justice in R v. Lowman against two individuals who, in connection with their creation of a website, were alleged to have engaged in unregistered trading, issuing securities without filing a prospectus and making a prohibited representation that securities would be listed on an exchange with the intention of effecting a trade in breach of the Ontario Secursecurities without filing a prospectus and making a prohibited representation that securities would be listed on an exchange with the intention of effecting a trade in breach of the Ontario Secursecurities would be listed on an exchange with the intention of effecting a trade in breach of the Ontario SecuritiesSecurities Act.

These include a number of state and federal securities violations in relation to fraud and offering unregistered securities, the rescission of a contractual arrangement between BitConnect and the plaintiffs, deceptive and unfair trade practices, fraudulent inducement, fraudulent and negligent misrepresentation, conversion (exerting unauthorized use or control of someone else's property), and civil conspiracy.

By considering all ICOs illegal rather than differentiating ones that trade in unregistered securities from ones that act more like tokens to use certain decentralized apps, China is taking a heavy - handed approach.

These services may transgress existing rules and may, in fact, be trading in unregistered securities.