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Keyword: Registration

262 results found

AMF to join National Registration Database

Quebec enrolment deadline set for January 1

  • By: IE Staff
  • September 21, 2004 September 21, 2004
  • 15:50

BCSC drops proposed registration rule

Says firm-only registration would complicate national system

OSC denies registration to rep

Regulator cites role in $1.25 million loss

  • By: IE Staff
  • June 7, 2004 June 7, 2004
  • 09:15

OSC releases reasons for denying Norlyn registration

The Ontario Securities Commission has issued its’ reasons for denying continued registration to a fund dealer that has not yet been accepted into the Mutual Fund Dealers association.The firm, Norlyn Financial Group Inc., was first granted registration in 1998 as a securities dealer. In May 2001, Norlyn changed its registration category to mutual fund dealer. […]

  • By: IE Staff
  • February 2, 2004 February 2, 2004
  • 15:50

Proposed National Registration System would cut compliance costs

Applicants would only have to file with one regulator

  • By: IE Staff
  • January 9, 2004 January 9, 2004
  • 11:45

Foreign dealers granted exemption from NRD payment requirements

EFT requirements waived

BCSC overturns refusal to renew registration of advisor

Vancouver rep failed to disclose drinking and driving convictions

  • By: IE Staff
  • December 19, 2003 December 19, 2003
  • 15:40

IDA issues reminder on licensing requirements for reps

Course work must be completed within 30 months

  • By: IE Staff
  • November 26, 2003 November 26, 2003
  • 09:20

Assante Financial settles with OSC regarding unregistered reps

Agrees to review out-of-province trading

  • By: IE Staff
  • November 24, 2003 November 24, 2003
  • 16:35

Ontario modifies registration proficiency requirements

New rule recognizes other provinces

  • By: IE Staff
  • November 17, 2003 November 17, 2003
  • 15:40