IPC Securities Corp. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 08 Mar 2024 19:43:38 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png IPC Securities Corp. – Investment Executive https://www.investmentexecutive.com 32 32 CIRO panel sanctions fund rep over conflicts https://www.investmentexecutive.com/news/from-the-regulators/ciro-panel-sanctions-fund-rep-over-conflicts/ Fri, 08 Mar 2024 19:43:38 +0000 https://www.investmentexecutive.com/?p=481911 Serving as a client's executor totally incompatible with rep's role, panel says

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]]> Ex-rep sanctioned for discretionary trading https://www.investmentexecutive.com/news/from-the-regulators/ex-rep-sanctioned-for-discretionary-trading/ Fri, 11 Nov 2022 21:36:34 +0000 https://www.investmentexecutive.com/?p=455435 Timing of bulk trades and poor record keeping results in disciplinary penalties

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]]> OSC, MFDA team up in case against fund rep https://www.investmentexecutive.com/news/from-the-regulators/osc-mfda-team-up-in-case-against-fund-rep/ Tue, 14 Jun 2022 21:32:27 +0000 https://www.investmentexecutive.com/?p=446441 Rep violated MFDA rules, OSC rules and firm's policies, panel finds

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]]> Small business owner clients should consider paying out additional dividends before yearend https://www.investmentexecutive.com/news/research-and-markets/small-business-owner-clients-should-consider-paying-out-additional-dividends-before-yearend/ Wed, 06 Dec 2017 16:45:00 +0000 https://avatar.investmentexecutive.com/uncategorized/small-business-owner-clients-should-consider-paying-out-additional-dividends-before-yearend/ 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

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]]> Court thwarts IPC’s attempt to recover client compensation costs from advisor https://www.investmentexecutive.com/news/from-the-regulators/court-thwarts-ipcs-attempt-to-recover-client-compensation-costs-from-advisor/ Wed, 22 Dec 2010 14:02:00 +0000 https://www.investmentexecutive.com/uncategorized/court-thwarts-ipcs-attempt-to-recover-client-compensation-costs-from-advisor/ Principal-agent agreement signed with previous dealer doesn’t apply, court rules

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]]> IPC Securities fined for accredited investor failings https://www.investmentexecutive.com/news/from-the-regulators/ipc-securities-fined-for-accredited-investor-failings/ Tue, 25 May 2010 19:08:00 +0000 https://www.investmentexecutive.com/uncategorized/ipc-securities-fined-for-accredited-investor-failings/ New policies and procedures result from IIROC investigation

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]]> IDA fines former IPC Securities rep $50,000 https://www.investmentexecutive.com/news/from-the-regulators/ida-fines-former-ipc-securities-rep-50000/ Wed, 05 Sep 2007 15:25:00 +0000 https://www.investmentexecutive.com/uncategorized/ida-fines-former-ipc-securities-rep-50000/ Regulator imposes permanent ban on Milardovic for failure to cooperate

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]]> IDA fines former IPC Securities COO $40,000 https://www.investmentexecutive.com/news/from-the-regulators/ida-fines-former-ipc-securities-coo-40000/ Wed, 17 Aug 2005 18:35:00 +0000 https://www.investmentexecutive.com/uncategorized/ida-fines-former-ipc-securities-coo-40000/ 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 […]

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]]> IDA fines IPC Securities $100,000 https://www.investmentexecutive.com/news/from-the-regulators/ida-fines-ipc-securities-100000/ Mon, 15 Aug 2005 12:40:00 +0000 https://www.investmentexecutive.com/uncategorized/ida-fines-ipc-securities-100000/ Firm failed to comply with IDA by-laws

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