Home Investment Dealers Association of Canada Page 40

Company: Investment Dealers Association of Canada

522 results found

IDA fines HSBC Securities rep $15,000

Broker failed to disclose personal financial dealing with client

  • By: IE Staff
  • February 10, 2004 February 10, 2004
  • 12:25

IDA lowers fees for firms under ME audit jurisdiction

Fees to fall by 50%

  • By: IE Staff
  • February 9, 2004 February 9, 2004
  • 16:15

IDA drops partners exam as substitute for CPH exam

New requirements in effect after May 24

  • By: IE Staff
  • February 9, 2004 February 9, 2004
  • 15:50

IDA disciplines former Merrill rep for discretionary trading

Brown fined $25,000

  • By: IE Staff
  • February 6, 2004 February 6, 2004
  • 11:35

Pacific IDA fines CIBC rep $25,000

Golden Securities penalized $20,000 for inadequate supervision

  • By: IE Staff
  • February 5, 2004 February 5, 2004
  • 16:30

IDA fines former TD rep

Montreal broker failed to disclose interest in account

  • By: IE Staff
  • February 5, 2004 February 5, 2004
  • 14:10

IDA chief calls for greater enforcement powers

Recommends changes to criminal code regarding insider trading

  • By: IE Staff
  • January 29, 2004 January 29, 2004
  • 13:30

IDA clarifies client priority in TSX Venture private placements

Board approve definition of "approved person"

IDA releases enforcement statistics for 2003

Number of complaints rises 41%

  • By: IE Staff
  • January 26, 2004 January 26, 2004
  • 15:20

Industry must press for meaningful reform: Oliver

Don't let provinces off the hook says IDA chief