不列颠哥伦比亚省证券委员会未经听证就对 Capstone Asset Management 处以 12,000 美元罚款，原因是 2018 年保险不合规。 British Columbia Securities Commission fines Capstone Asset Management $12,000 without a hearing for 2018 insurance non-compliance.
不列颠哥伦比亚省证券委员会 (BCSC) 未经听证就对资产管理公司 Capstone Asset Management Inc. 处以 12,000 美元的行政罚款，这是一种首创的执法机制。 The British Columbia Securities Commission (BCSC) has issued a $12,000 administrative fine against asset manager Capstone Asset Management Inc. without a hearing, a first-of-its-kind enforcement mechanism. 此前 BCSC 工作人员发现该公司在 2018 年未能遵守保险要求，因此对其实施了此项处罚。 The penalty followed a previous BCSC staff finding that the firm failed to comply with insurance requirements in 2018. 2020 年，BCSC 被赋予新的行政权力，可以绕过对轻微投资市场违规行为的听证会。 The BCSC was granted new administrative powers in 2020 to bypass hearings for minor investment market violations.