Guilbault fined $35,000
Racine fined $30,000
A hearing panel of the Investment Dealers Association of Canada has fined Randal Jerome Hazen, an approved person with the Mississauga, Ont. branch office of CIBC World Markets Inc., $10,000 for unauthorized trading in private placements.Following a disciplinary hearing held on June 21, Hazen admitted that during the period of February, March and August, 2000 […]
Rule book will be updated once per month
IDA head also stresses merits of establishing national securities regulator
Odlum Brown CEO to serve as chairman
More generically written regulations that put the onus on registrants to act in the best interest of their clients are needed, says BCSC chairman
Course includes both financial planning and investment management
Maple bonds continue to flourish