CIBC Wood Gundy rep forged client's signature
Middle class needs to save more
2004 issuance sets new record
Former Canaccord rep fined $80,000
The Investment Dealers Association of Canada has published annual reports for its compliance, enforcement and registration activities in 2004.The IDA says that there were 83 early warning violations in 2004, to the end of November, down from 100 in 2003. These violations caused by 22 members, down from 24 in 2003. And, there were 14 […]
The Investment Dealers Association is announcing a new online reporting system that will enable members to track continuing education requirements.The system, to be launched shortly, will allow members to view the requirements for each ‘approved person’ at the firm, and also to report completion of each individual’s compliance and professional development requirements.Members are asked to […]
Long-term funds drive asset growth
Bay Street losing out to Wall Street
Brazeau fined $35,000 for improper trading
Releases 2000 audit critical of IDA