Regulator releases financial, sales compliance reports
Private Client Day to open event
Montreal broker fined $25,000
Moon, Gelfand accept settlement agreement
RBC Halifax rep fined $50,000
Regulator expecting better enforcement results
Ottawa broker recommended inappropriate trades
Saltsman slapped with for 10-year ban
Implementation planned for 2005
The Investment Dealers Association has won relief for its members from a yearend deadline for obtaining new directions regarding shareholder communication from clients currently deemed to be “non-objecting beneficial owners” of certain securities.The IDA sought relief from the requirement that “in the absence of new instructions, firms shall treat a client who was deemed to […]