Failure to provide information undermines the integrity of the self-regulatory system, IDA says
The Investment Dealers Association of Canada has issued a notice that aims to provide guidance concerning the application of new accounting standards for financial instruments. The new accounting standards will require that every firm identify all financial instruments in its organization to ensure the terms and conditions of both financial and non-financial contracts are understood […]
B.C. rep loaned funds to a client without firm’s authorization
Prospective and previously approved CCOs would have to pass qualifying exam
Kim given six-month suspension
Firms urged to arrange for specific computer fraud coverage
Effort to reduce regulatory burden
In a recent speech to the Joint Securities Intelligence Unit Conference, Joe Oliver, president & CEO of the Investment Dealers Association of Canada, said that regulators and other enforcement bodies must cooperate to fight economic crime.“Capital markets crime has become more varied and complex, increasingly trans-border, and often global in scope. Advanced technology and sophisticated […]
The Investment Dealers Association of Canada (IDA) today welcomed the release of the final report of the Task Force to Modernize Securities Legislation in Canada.On June 27, 2005 the IDA announced the establishment of this independent task force of prominent business leaders, securities lawyers, industry professionals and academics to recommend changes to Canadian securities legislation […]
Concerned about client harm arising from delays