Serving as a client's executor totally incompatible with rep's role, panel says
Timing of bulk trades and poor record keeping results in disciplinary penalties
Rep violated MFDA rules, OSC rules and firm's policies, panel finds
Ottawa’s decision to lower the small business tax rate in 2018, 2019 also means that the dividend tax rate will be rising; clients have a limited opportunity to pay out dividends at lower rates
Principal-agent agreement signed with previous dealer doesn’t apply, court rules
New policies and procedures result from IIROC investigation
Regulator imposes permanent ban on Milardovic for failure to cooperate
A hearing panel of the Investment Dealers Association of Canada fined a former chief operating officer of IPC Securities Corp. $40,000 for failing to supervise IPC’s inventory and error accounts.John Alexander, was a vice president, director, COO and registered representative with the Toronto office of IPC Securities.On August 3, 2005, the hearing panel accepted a […]
Firm failed to comply with IDA by-laws