Home Investment Dealers Association of Canada Page 20

Company: Investment Dealers Association of Canada

522 results found

Jory Capital CEO fined $25,000

IDA suspends Cooney for five years

  • By: IE Staff
  • January 16, 2006 January 16, 2006
  • 16:15

Compliance monitor completes assignment at Union Securities

Corporate governance concerns addressed, says IDA

  • By: IE Staff
  • January 10, 2006 January 10, 2006
  • 16:20

RBC DS branch manager failed to supervise rep: IDA

Date for penalty hearing not yet scheduled

  • By: IE Staff
  • January 9, 2006 January 9, 2006
  • 14:20

IDA bans former Assante rep for life

Imposes $275,000 fine

  • By: IE Staff
  • January 3, 2006 January 3, 2006
  • 15:20

IDA to file consumer complaints with Quebec regulators

Reports to be prepared semi-annually

Industry profits jump 74% in Q3, IDA says

Gains in commissions, trading and investment banking

  • By: IE Staff
  • December 16, 2005 December 16, 2005
  • 09:20

Dealers support mandate change for IDA

Firms vote to set up independent trade association

IDA fines Calgary broker $10,000

Canaccord rep forged client’s signature

  • By: IE Staff
  • December 13, 2005 December 13, 2005
  • 13:55

IDA outlines membership criteria for non-resident firms

Firms would have no physical presence in Canada

  • By: IE Staff
  • December 5, 2005 December 5, 2005
  • 12:10

Quebec regulator receives bids for iForum Securities

IDA suspends securities firm