National Registration Database – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 01 Jun 2023 15:49:41 +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 National Registration Database – Investment Executive https://www.investmentexecutive.com 32 32 CSA’s SEDAR+ rollout hits speed bump https://www.investmentexecutive.com/news/from-the-regulators/csas-sedar-rollout-hits-speed-bump/ Thu, 01 Jun 2023 15:49:41 +0000 https://www.investmentexecutive.com/?p=466686 As data transfer lags, launch date is pushed back

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CSA reveals name for revamped filing system https://www.investmentexecutive.com/news/from-the-regulators/csa-reveals-name-for-revamped-filing-system/ Fri, 25 Oct 2019 15:11:02 +0000 https://www.investmentexecutive.com/?p=389404 The system will be unveiled in four phases, beginning in 2021

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Industry demands voice on CSA systems reno https://www.investmentexecutive.com/news/from-the-regulators/industry-demands-voice-on-csa-systems-reno/ Wed, 09 Oct 2019 14:31:25 +0000 https://www.investmentexecutive.com/?p=388419 Trade groups want to be consulted as the CSA overhauls its electronic filing systems

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IFIC voices support for CSA’s systems renewal program https://www.investmentexecutive.com/news/from-the-regulators/ific-voices-support-for-csas-systems-renewal-program/ Mon, 29 Jul 2019 19:25:53 +0000 https://www.investmentexecutive.com/?p=385034 But the industry trade group is calling on the regulator to keep fees in check

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CSA proposes systems reboot, cost cut https://www.investmentexecutive.com/news/from-the-regulators/csa-proposes-systems-reboot-cost-cut/ Thu, 02 May 2019 18:07:11 +0000 https://www.investmentexecutive.com/?p=381147 The regulator estimated that total system fees would decline by about 7% under the new model

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March 19 is Check Registration Day https://www.investmentexecutive.com/news/from-the-regulators/march-19-is-check-registration-day/ Tue, 18 Mar 2014 16:10:00 +0000 https://www.investmentexecutive.com/uncategorized/march-19-is-check-registration-day/ CSA encourages investors to protect themselves from investment fraud

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CSA encourages Canadians to check registration of advisors https://www.investmentexecutive.com/news/from-the-regulators/csa-encourages-canadians-to-check-registration-of-advisors/ Tue, 04 Mar 2014 18:30:00 +0000 https://www.investmentexecutive.com/uncategorized/csa-encourages-canadians-to-check-registration-of-advisors/ Check Registration Day is March 19

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CSA announces cutover date for online filing https://www.investmentexecutive.com/news/from-the-regulators/csa-announces-cutover-date-for-online-filing/ Fri, 03 Jan 2014 16:40:00 +0000 https://www.investmentexecutive.com/uncategorized/csa-announces-cutover-date-for-online-filing/ CGI to take over responsibility of hosting SEDAR, SEDI and NRD on Jan. 13

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Former securities rep charged https://www.investmentexecutive.com/news/from-the-regulators/former-securities-rep-charged/ Mon, 25 Nov 2013 21:25:00 +0000 https://www.investmentexecutive.com/uncategorized/former-securities-rep-charged/ Ontario woman accused of forging NRD employment record to hide dismissal from firm

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CSA to delay online filing migration https://www.investmentexecutive.com/news/from-the-regulators/csa-to-delay-online-filing-migration/ Mon, 07 Oct 2013 19:00:00 +0000 https://www.investmentexecutive.com/uncategorized/csa-to-delay-online-filing-migration/ Switch to hosting by CGI postponed until Dec. 2

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