Evans ordered to pay $180,000
The board of the Investment Dealers Association of Canada has approved changes to proficiency requirements for futures contract portfolio managers.The rule changes add an educational component to the proficiency requirements, including the courses necessary to obtain the Derivatives Market Specialist Designation offered by CSI Global Education Inc. or the Chartered Financial Analyst program administered by […]
The Investment Dealers Association of Canada has published for comment proposed complaint-handling rules.The IDA’s proposed rule seeks to establish specific requirements for the client complaint handling process. It sets out specific standards and timelines to be adhered to in acknowledging, investigating and responding to client complaints that allege misconduct relating to the handling of the […]
All judgments now available on Web site
Alleged violations occurred outside the six year limitation period
Investor Forum marks second meeting between regulators and investors
More complex tests involving more participants under discussion
The Investment Dealers Association of Canada has issued a notice outlining changes to anti-money laundering and terrorist financing rules.On June 27, 2007, the federal government announced the implementation of changes to the anti-money laundering legislation and regulations. Some of the changes were effective June 30, others do not take effect until June 23, 2008, and […]
Mirza failed to co-operate with investigation
Review of all submissions will be performed by IDA staff