Home Registration Page 18

Keyword: Registration

285 results found

Improve registration check for investors: FAIR Canada

The current system is complicated and requires the search of several databases

CSA announces March 26 as Check Registration Day

Investors encouraged to check the registration of firms and individuals offering investment advice

  • March 25, 2013 December 19, 2017
  • 10:50

IIROC encourages investors to conduct “due diligence”

Regulator wants to raise awareness of AdvisorReport during Fraud Prevention Month

  • By: IE Staff
  • March 11, 2013 March 11, 2013
  • 09:15

1,500 hedge and private fund advisors register with SEC

Mandatory registration has given the SEC its first comprehensive look at advisors to these types of funds.

Fund dealer officers lose bid to have their registrations reinstated

Investment House co-founders failed to manage conflicts of interest, says OSC

Provinces choose different paths on fund manager registration

Provincial regulators will adopt two different models for registering “non-resident” fund managers

Australia, New Zealand agree on financial advisor qualifications

Mutual recognition of advisors will take effect July 6

OSC to give firms reasons for registration rejections

Reasons given to individuals will now be shared with firms

Hedge fund fined $100,000 for improper registration

Sternberg, Parkwood and Philco banned from registration

Registration frustration

Two fund manager registration models have been proposed by regulators