Investment Dealers Association of Canada – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 19 Dec 2017 17:18:07 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Investment Dealers Association of Canada – Investment Executive https://www.investmentexecutive.com 32 32 New MFDA proficiency requirement approved https://www.investmentexecutive.com/news/from-the-regulators/new-mfda-proficiency-requirement-approved/ Fri, 18 Mar 2016 20:30:00 +0000 https://www.investmentexecutive.com/uncategorized/new-mfda-proficiency-requirement-approved/ The measure aims to ensure that reps have adequate training and proficiency when they deal in products, such as ETFs

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]]> Smaller firms under “severe” pressure, says IIAC https://www.investmentexecutive.com/news/industry-news/smaller-firms-under-severe-pressure-says-iiac/ Thu, 27 Sep 2012 18:00:00 +0000 https://www.investmentexecutive.com/uncategorized/smaller-firms-under-severe-pressure-says-iiac/ Second quarter results were the worst in at least a decade, with total operating profit down almost 60% from the previous quarter

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]]> Ontario appeal court overturns Taub decision https://www.investmentexecutive.com/news/from-the-regulators/ontario-appeal-court-overturns-taub-decision/ Mon, 31 Aug 2009 18:28:00 +0000 https://www.investmentexecutive.com/uncategorized/ontario-appeal-court-overturns-taub-decision/ Court affirms SRO’s jurisdiction to pursue wrongdoers who have left the industry

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]]> OSC upholds decision of IDA hearing panel regarding Kasman and Anderson https://www.investmentexecutive.com/news/from-the-regulators/osc-upholds-decision-of-ida-hearing-panel-regarding-kasman-and-anderson/ Wed, 15 Jul 2009 20:10:00 +0000 https://www.investmentexecutive.com/uncategorized/osc-upholds-decision-of-ida-hearing-panel-regarding-kasman-and-anderson/ Panel decision based on appropriate principles, OSC says

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]]> Union Securities options supervisor disciplined https://www.investmentexecutive.com/news/from-the-regulators/union-securities-options-supervisor-disciplined/ Mon, 15 Dec 2008 20:50:00 +0000 https://www.investmentexecutive.com/uncategorized/union-securities-options-supervisor-disciplined/ Panel finds four instances of inadequate supervision

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]]> B.C. court upholds IDA’s jurisdiction over former members https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-upholds-idas-jurisdiction-over-former-members/ Sun, 26 Oct 2008 17:15:00 +0000 https://www.investmentexecutive.com/uncategorized/b-c-court-upholds-idas-jurisdiction-over-former-members/ Dass decision contradicts Taub ruling

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]]> Former Calgary rep fined for failing to cooperate with SRO investigation https://www.investmentexecutive.com/news/from-the-regulators/former-calgary-rep-fined-for-failing-to-cooperate-with-sro-investigation/ Thu, 24 Jul 2008 18:15:00 +0000 https://www.investmentexecutive.com/uncategorized/former-calgary-rep-fined-for-failing-to-cooperate-with-sro-investigation/ Buskell dealt permanent ban

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]]> Quebec rep guilty of engaging in outside business activities: IDA https://www.investmentexecutive.com/news/from-the-regulators/quebec-rep-guilty-of-engaging-in-outside-business-activities-ida/ Tue, 22 Jul 2008 19:20:00 +0000 https://www.investmentexecutive.com/uncategorized/quebec-rep-guilty-of-engaging-in-outside-business-activities-ida/ Date for penalty hearing pending

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]]> IIROC opens shop https://www.investmentexecutive.com/news/from-the-regulators/iiroc-opens-shop/ Mon, 09 Jun 2008 16:15:00 +0000 https://www.investmentexecutive.com/uncategorized/iiroc-opens-shop/ IDA, RS combine to form Investment Industry Regulatory Organization of Canada

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]]> IFIC calls for consistent regulatory objectives in Client Relationship Model https://www.investmentexecutive.com/news/industry-news/ific-calls-for-consistent-regulatory-objectives-in-client-relationship-model/ Fri, 23 May 2008 13:25:00 +0000 https://www.investmentexecutive.com/uncategorized/ific-calls-for-consistent-regulatory-objectives-in-client-relationship-model/ Urges IDA to adopt a flexible approach to performance reporting requirements

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