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Company: Investment Dealers Association of Canada

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ME transfers member regulation functions to IDA

IDA welcome new members

  • By: IE Staff
  • January 7, 2005 January 7, 2005
  • 16:30

IDA sets out guidelines for reporting trade name usage

Firms must notify regulator before using names

IDA panel upholds rep’s refusal to attend interview

A registered rep has won his argument before an Investment Dealers Association hearing panel over whether he should have to attend an investigative interview with an investigator from a U.S. regulator sitting in.A disciplinary hearing was held Dec. 13 over an alleged violation of IDA by-laws by Brian Gruson, now a rep with Desjardins Securities […]

  • By: IE Staff
  • December 22, 2004 December 22, 2004
  • 16:37

IDA settles with three brokerages over market timing

Imposes more than $40 million in penalties

  • By: Alan Husdal
  • December 16, 2004 December 16, 2004
  • 16:15

IDA fines Halifax broker $10,000

Rep admits to unauthorized trades

  • By: IE Staff
  • December 15, 2004 December 15, 2004
  • 15:50

IDA fines Chicoutimi broker $25,000

Former Assante rep given 12 month suspension

  • By: IE Staff
  • December 15, 2004 December 15, 2004
  • 13:55

IDA extends time limits for applying for registration

Individuals must enroll in continuing education program

Brokerages reach settlement over market timing

IDA hearing set for Dec. 16

IDA issues update on straight through processing

Alternative STP rules being considered

  • By: IE Staff
  • December 6, 2004 December 6, 2004
  • 14:55

IDA fines Vancouver broker $5,000

Gee admits to forging client's signature

  • By: IE Staff
  • December 2, 2004 December 2, 2004
  • 14:20