TD Waterhouse Canada Inc. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 26 Jan 2024 19:33:22 +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 TD Waterhouse Canada Inc. – Investment Executive https://www.investmentexecutive.com 32 32 Proposed trailer fee class action denied again https://www.investmentexecutive.com/news/from-the-regulators/proposed-trailer-fee-class-action-denied-again/ Fri, 26 Jan 2024 19:33:22 +0000 https://www.investmentexecutive.com/?p=479355 Firms were allowed to collect trailers before the CSA ban, court rules

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]]> Discount brokers can’t be sued over pre-ban trailers, court rules https://www.investmentexecutive.com/news/from-the-regulators/discount-brokers-cant-be-sued-over-pre-ban-trailers-court-rules/ Mon, 23 Jan 2023 23:11:44 +0000 https://www.investmentexecutive.com/?p=459113 Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban

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]]> Ex-rep sanctioned for off-book dealings https://www.investmentexecutive.com/news/from-the-regulators/ex-rep-sanctioned-for-off-book-dealings/ Wed, 13 Apr 2022 20:56:47 +0000 https://www.investmentexecutive.com/?p=442765 Broker admitted to violating IIROC rules in connection with an undisclosed payment

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]]> First enforcement, now an exemption https://www.investmentexecutive.com/news/from-the-regulators/first-enforcement-now-an-exemption/ Fri, 17 Jul 2020 17:47:05 +0000 https://www.investmentexecutive.com/?p=404295 After sanctioning non-compliance, IIROC board grants relief from CRM2 provision to TD Waterhouse

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]]> TD Waterhouse fined $4 million for ignoring CRM2 https://www.investmentexecutive.com/news/from-the-regulators/td-waterhouse-fined-4-million-for-ignoring-crm2/ Mon, 23 Mar 2020 16:43:07 +0000 https://www.investmentexecutive.com/?p=397360 An IIROC panel found the firm deliberately decided not to comply with position cost reporting requirements

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]]> Investment complaints surged in 2019 https://www.investmentexecutive.com/news/research-and-markets/investment-complaints-surged-in-2019-obsi/ Fri, 13 Mar 2020 20:31:35 +0000 https://www.investmentexecutive.com/?p=396861 Suitability remains investors’ top complaint, OBSI says

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]]> Broker not to blame for investor’s massive tax bill https://www.investmentexecutive.com/news/industry-news/broker-not-to-blame-for-investors-massive-tax-bill/ Tue, 10 Mar 2020 18:53:13 +0000 https://www.investmentexecutive.com/?p=396608 An Ontario court has ruled that TD Waterhouse was not at fault for a surprise $4.1-million tax bill

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]]> TD Waterhouse wins margin account dispute https://www.investmentexecutive.com/news/industry-news/td-waterhouse-wins-margin-account-dispute/ Fri, 14 Feb 2020 17:20:38 +0000 https://www.investmentexecutive.com/?p=395407 A court has ruled the discount broker had an “ironclad” reason to sell out a client’s margin accounts

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]]> Attempt to sue OSC an ‘abuse of process,’ court says https://www.investmentexecutive.com/news/from-the-regulators/attempt-to-sue-osc-an-abuse-of-process-court-says/ Mon, 10 Feb 2020 20:07:51 +0000 https://www.investmentexecutive.com/?p=395163 Court of Appeal upholds ruling dismissing lawsuit proposed by trust beneficiary

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]]> TD Waterhouse accused of disclosure violations https://www.investmentexecutive.com/news/from-the-regulators/td-waterhouse-accused-of-disclosure-violations/ Tue, 16 Apr 2019 18:57:52 +0000 https://www.investmentexecutive.com/?p=380247 IIROC claims firm failed to provide clients with position cost information in quarterly account statements

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