Canuck firms caught in US regulator's dragnet

It's an unpleasant surprise for a public company to be served with an enforcement action by a securities regulator from any jurisdiction, and even worse when management doesn't know the company is subject to the regulator's jurisdiction.

Kenneth Sam, Thomas Gorman
Published: Wednesday, 12/14/2011 12:00 am EST

It's an unpleasant surprise for a public company to be served with an enforcement action by a securities regulator from any jurisdiction, and even worse when management doesn't know the company is subject to the regulator's jurisdiction.

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